0001330343-13-000016.txt : 20131211 0001330343-13-000016.hdr.sgml : 20131211 20131211161904 ACCESSION NUMBER: 0001330343-13-000016 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131209 FILED AS OF DATE: 20131211 DATE AS OF CHANGE: 20131211 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AMERICAN CAPITAL, LTD CENTRAL INDEX KEY: 0000817473 IRS NUMBER: 521451377 BUSINESS ADDRESS: STREET 1: 2 BETHESDA METRO CENTER STREET 2: 14TH FL, ATT TREASURY, CASH AND BANKING CITY: BETHESDA STATE: MD ZIP: 20814 BUSINESS PHONE: 3019516122 MAIL ADDRESS: STREET 1: 2 BETHESDA METRO CENTER STREET 2: 14TH FL, ATT TREASURY, CASH AND BANKING CITY: BETHESDA STATE: MD ZIP: 20814 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN CAPITAL STRATEGIES LTD DATE OF NAME CHANGE: 19970623 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Graff Brian CENTRAL INDEX KEY: 0001330343 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00149 FILM NUMBER: 131271146 MAIL ADDRESS: STREET 1: 2 BETHESDA METRO CENTER STREET 2: 14TH FLOOR CITY: BETHESDA STATE: MD ZIP: 20814 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-12-09 0000817473 AMERICAN CAPITAL, LTD ACAS 0001330343 Graff Brian 2 BETHESDA METRO CENTER 14TH FLOOR BETHESDA MD 20814 0 1 0 0 Senior Vice President Common Stock 2013-12-09 4 M 0 50000 4.81 A 153853.63 D Common Stock 2013-12-09 4 M 0 50633 3.10 A 153853.63 D Common Stock 2013-12-09 4 S 0 100633 15.1353 D 153853.63 D Common Stock 2013-12-11 4 S 0 1310 15.0031 D 152543.63 D Common Stock 6879 I ESOP/401(k) Plan Options 4.81 2013-12-09 4 M 0 50000 0 D 2011-01-07 2019-01-07 Common Stock 50000 274775 D Options 3.10 2013-12-09 4 M 0 50633 0 D 2011-07-22 2019-07-22 Common Stock 50633 0 D Price reflects weighted average sales price; actual sale prices ranged from $15.11 to $.15.16. The reporting person undertakes to provide, upon request by the Commission staff, the issuer or a security holder of the issuer, information regarding the number of shares sold at each separate price. On June 11, 2009, the company declared a stock dividend payable to all holders of record of common stock on June 22, 2009. Pursuant to the anti-dilution provisions of the Company's stock option plan, an option for 250,000 shares of common stock with an exercise price of $6.24 held by the reporting person on June 22, 2009 became exercisable for 324,775 shares of common stock with an exercise price of $4.81. The option vests in three equal installments beginning on January 7, 2010. The option vests in three equal installments beginning on July 22, 2010. Sales made pursuant to a previously established Rule 10b5-1 Plan. /s/ Samuel A. Flax, as attorney-in-fact for Brian Graff 2013-12-11 EX-24 2 attach_1.htm

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