-----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, V/7GxAPf8wmSmBOwSZbkiGk4VTcgJfkO0tOLBf50CDzVrJPPmnKeRm5PPOJA5sqS chRrLIkGLym6vMQdZ90pFQ== 0000903112-97-000013.txt : 19970109 0000903112-97-000013.hdr.sgml : 19970109 ACCESSION NUMBER: 0000903112-97-000013 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970108 SROS: AMEX SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AMPEX CORP /DE/ CENTRAL INDEX KEY: 0000887433 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 133667696 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20292 FILM NUMBER: 97502590 BUSINESS ADDRESS: STREET 1: 500 BROADWAY STREET 2: MAIL STOP 3-36 CITY: REDWOOD CITY STATE: CA ZIP: 94063-3199 BUSINESS PHONE: 4153672011 MAIL ADDRESS: STREET 1: 500 BROADWAY STREET 2: MAIL STOP 3-36 CITY: REDWOOD CITY STATE: CA ZIP: 94063-3199 FORMER COMPANY: FORMER CONFORMED NAME: AMPEX INC /DE/ DATE OF NAME CHANGE: 19940505 FORMER COMPANY: FORMER CONFORMED NAME: AMPEX INC DATE OF NAME CHANGE: 19930328 COMPANY DATA: COMPANY CONFORMED NAME: JACQUET RICHARD J CENTRAL INDEX KEY: 0001028340 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O AMPEX CORP STREET 2: 500 BROADWAY CITY: REDWOOD CITY STATE: CA ZIP: 94063 BUSINESS PHONE: 2128567000 MAIL ADDRESS: STREET 1: C/O BATTLE FOWLER LLP STREET 2: 75 E 55TH ST CITY: NEW YORK STATE: NY ZIP: 10022 4 1 FORM 4 OMB Number 3235-0287 Expires: September 30, 1998 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP / / Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). 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(f) of the Investment Company Act of 1940 1. Name and Address of Reporting Person (If the form is filed by more than one reporting person, see Instruction 4(b)(v).) Jacquet Richard J. (Last) (First) (Middle) 500 Broadway (Street) Redwood City CA 94063 (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Ampex Corporation (AXC) 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for (Month/Year) 12/96 5. If Amendment, Date of Original (Month/Year) C/M: 11115.0000 446417.1 6. Relationship of Reporting Persons to Issuer (Check all applicable) _______ Director ______ 10% Owner X Officer (give title below) ______ Other (specify below) Vice President 7. Individual or Joint/Group filing (Check Applicable Line) ___X___ Form filed by One Reporting Person _______ Form filed by More than One Reporting Person C/M: 11115.0000 446417.1 TABLE I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Ownership 7. Nature of Security action action or Disposed of (D) Securities Form: Indirect (Instr.3) Date Code (Instr.3, 4 and 5) Beneficial Direct (D) Beneficial (Month (Instr.8) ly Owned or Ownership /Date/Year) at End of Indirect Month (I) (Instr. 4) (Inst. 3 (Instr. 4) and 4) -------------------------------- ------------------- Code V Amount (A) or Price (D) - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - -----------------------------------------------------------------------------------------------------------------------------------
SEC 1474 (7-96) Page 3 C/M: 11115.0000 446417.1 TABLE II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of 2 Conver- 3. Trans- 4. Transaction 5. Number of Deriv- 6. Date Exercisable and Derivative sion or action Code ative Securities Expiration Date Security Exercise Date Acquired (A) or (Month/Day/Year) (Instr.3) Price of (Instr. 8) Disposed of (D) Deri- (Month/Day/Year) vative (Instr. 3, 4, Security and 5) -------------------------------------------------------------------------------- Code V (A) (D) Date Exer- Expiration cisable Date - ---------------------------------------------------------------------------------------------------------------------------------- Option to $10.50 12/13/96 A V 25,000 (Note 1) (Note 1) acquire (Note 1) - ---------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------
1. Title of 7. Title and Amount of 8. Price of 9. Number of 10.Ownership 11. Nature of Derivative Underlying Security Derivative Derivative Form of Deriva- Indirect Bene- Security Security Securities tive Security: ficial Owner- (Instr.3) (Instr.3 and 4) Beneficially Direct (D) or ship (Instr. (Instr. 5) Owned at End Indirect (I) 4) of Month (Instr. 4) (Instr. 4) ------------------------------ Title Amount or Number of Shares - -------------------------------------------------------------------------------------------------------------------------- Option to Class A 10,000 $0 (Note 2) D acquire (Note Common Stock 1) - -------------------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: Note 1. Non-qualified stock option grant pursuant to Rule 16b-3 under the Ampex Corporation Stock Incentive Plan (the "Plan"). The option becomes exercisable as to 34% of the underlying shares on the first anniversary of the grant date, and as to an additional, 8.25% at the end of each quarter thereafter until the third anniversary of the grant date. The option expires as to equivalent percentages of underlying shares on the fifteen-month anniversary of the vesting date for such shares. Note 2. The column 9 total does not include other options outstanding under the Plan because their exercise prices and exercise periods are different. SEC 1474 (7-96) Page 4 C/M: 11115.0000 446417.1 01/07/97 2:48PM RICHARD J. JACQUET January , 1997 **Signature of Reporting Person Date ** 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. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. SEC 1474 (7-96) Page 5 C/M: 11115.0000 446417.1 -----END PRIVACY-ENHANCED MESSAGE-----