-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, C9ZzpTRKhNpCmn9dTSo1l/UTTAbTFvbEEixblvIOBhCEYDP/Rjt1iZuzy6QBOubf cNNk0vTD5ez3OUL66OaWQA== 0001207732-02-000002.txt : 20021129 0001207732-02-000002.hdr.sgml : 20021128 20021129153258 ACCESSION NUMBER: 0001207732-02-000002 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021121 FILED AS OF DATE: 20021129 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AAMES FINANCIAL CORP/DE CENTRAL INDEX KEY: 0000879957 STANDARD INDUSTRIAL CLASSIFICATION: MORTGAGE BANKERS & LOAN CORRESPONDENTS [6162] IRS NUMBER: 954340340 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13660 FILM NUMBER: 02845005 BUSINESS ADDRESS: STREET 1: 350 S GRAND AVE STREET 2: 43RD FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071-3459 BUSINESS PHONE: 323-210-5000 MAIL ADDRESS: STREET 1: 350 S GRAND AVE STREET 2: 43RD FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: LEVINE BARRY M CENTRAL INDEX KEY: 0001207732 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: AAMES FINANCIAL CORP STREET 2: 350 SOUTH GRAND AVE. 43RD FL CITY: LOS ANGELES STATE: CA ZIP: 90071 BUSINESS PHONE: 3232105000 MAIL ADDRESS: STREET 1: AAMES FINANCIAL CORP STREET 2: 350 SOUTH GRAND AVE. 43RD FL CITY: LOS ANGELES STATE: CA ZIP: 90071 3 1 levinef3.txt FORM 3 - BARRY M. LEVINE ------------------------------ OMB APPROVAL ------------------------------ OMB Number: 3235-0104 Expires: January 31, 2005 Estimated average burden hours per response.........0.5 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 (Print of Type Responses) ________________________________________________________________________________ 1. Name and Address of Reporting Person* Levine, Barry M. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 350 South Grand Ave. 43rd Floor - -------------------------------------------------------------------------------- (Street) Los Angeles, Ca 90071 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Date of Event Requiring Statement (Month/Day/Year) November 21, 2002 ________________________________________________________________________________ 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) ________________________________________________________________________________ 4. Issuer Name and Ticker or Trading Symbol Aames Financial Corporation (AMSF) ________________________________________________________________________________ 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) |_| Director |_| 10% Owner |X| Officer (give title below) |_| Other (specify below) Executive Vice President - Chief Information Officer ____________________________________________________________________ ________________________________________________________________________________ 6. If Amendment, Date of Original (Month/Day/Year) ________________________________________________________________________________ 7. Individual or Joint/Group Filing (Check Applicable line) |X| Form filed by One Reporting Person |_| Form filed by More than One Reporting Person ================================================================================ Table I -- Non-Derivative Securities Beneficially Owned ================================================================================
3. Ownership Form: 2. Amount of Securities Direct (D) or 1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership (Instr. 4) (Instr. 4) (Instr. 5) (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
FORM 3 (continued) Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
5. Owner- 3. Title and Amount of Securities ship Underlying Derivative Security Form of 2. Date Exercisable (Instr. 4) Derivative and Expiration Date --------------------------------- 4. Conver- Securities: (Month/Day/Year) Amount sion or Direct 6. Nature of ---------------------- or Exercise (D) or Indirect Date Expira- Number Price of Indirect Beneficial 1. Title of Derivative Exer- tion of Derivative (I) Ownership Security (Instr. 4) cisable Date Title Shares Security (Instr. 5) (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Option to purchase Common Stock (1) 8/4/2010 Common Stock 150,000 $0.85 D - ------------------------------------------------------------------------------------------------------------------------------------ Option to purchase Common Stock (2) 12/29/2010 Common Stock 20,000 $0.85 D - ------------------------------------------------------------------------------------------------------------------------------------ Option to purchase Common Stock (3) 2/7/2011 Common Stock 80,000 $1.11 D - ------------------------------------------------------------------------------------------------------------------------------------ Option to purchase Common Stock (4) 2/7/2012 Common Stock 50,000 $0.85 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Explanation of Responses: (1) Vests 20% on date of grant (August 4, 2000); vests 20% annually thereafter on anniversary date of grant until fully vested. (2) Vests 20% on date of grant (December 29, 2000); vests 20% annually thereafter on anniversary date of grant until fully vested. (3) Vests 20% on date of grant(February 7, 2001); vests 20% annually thereafter on anniversary date of grant until fully vested. (4) Vests 20% on date of grant (February 7, 2002); vests 20% annually thereafter on anniversary date of grant until fully vested. /s/ Barry M. Levine November 29, 2002 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date * If the form is filed by more than one reporting person, see Instruction 5(b)(v). ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. -----END PRIVACY-ENHANCED MESSAGE-----