- Amended Statement of Beneficial Ownership (SC 13D/A)
05 Januar 2011 - 8:02PM
Edgar (US Regulatory)
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Schedule 13D
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Page
1
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5
Pages
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
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Ameritrans Capital Corporation
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(Name of issuer)
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9
3
/
8
% Cumulative Participating Redeemable Preferred Stock (face value $12.00)
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(Title of class of securities)
(CUSIP
number)
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Robert C. Ammerman (617) 478-9612
c/o Capital Resource Partners, 31 State Street, Boston, MA 02109
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(Name, address and telephone number of person authorized to receive notices and communications)
(Date of event which requires filing of this statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this
Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.
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*
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The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for
any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
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The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of
Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
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CUSIP No.
03073H207
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13D
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Page
2
of
5
Pages
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1
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Names of reporting persons.
Robert C. Ammerman
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2
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Check the appropriate box if a
member of a group (see instructions)
(a)
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(b)
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3
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SEC use only
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4
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Source of funds (see
instructions)
PF
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5
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Check if disclosure of legal
proceedings is required pursuant to Items 2(d) or 2(e)
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6
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Citizenship or place of
organization
United States
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Number of
shares
beneficially
owned by
each
reporting
person
with
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7
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Sole voting power
64,297 shares
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8
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Shared voting power
0 shares
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9
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Sole dispositive power
64,297 shares
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10
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Shared dispositive power
0 shares
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11
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Aggregate amount beneficially
owned by each reporting person
64,297 shares
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12
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Check if the aggregate amount in
Row (11) excludes certain shares (see instructions)
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13
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Percent of class represented by
amount in Row (11)
21.4%
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14
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Type of reporting person (see
instructions)
IN
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Page 2 of 5
pages
Schedule 13D
This Amendment No. 1 amends the Statement on Schedule 13D (the Schedule 13D) filed with the Securities and Exchange commission on December 17, 2010 by Robert C. Ammerman with respect
to shares of the 9 3/8% Cumulative Participating Redeemable Preferred Stock (face value $12.00) of Ameritrans Capital Corporation.
Item 3.
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Source and Amount of Funds or Other Consideration.
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Item 3 is hereby amended and restated to read as follows:
Mr. Ammerman, personally and through self-directed retirement accounts, is the owner of 64,297 shares of Preferred Stock of the
Issuer (the Record Shares). Mr. Ammerman acquired the Record Shares with approximately $566,000 in personal funds.
Item 5.
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Interest in Securities of the Issuer.
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Item 5 is hereby amended and restated to read as follows:
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(a)
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Mr. Ammerman, personally and through self-directed retirement accounts, is the record and beneficial owner of the Record Shares (i.e., 64,297 shares of Preferred
Stock).
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The Record Shares represent 21.4% of the Preferred Stock of the Issuer, which percentage is calculated
based upon 300,000 shares of Preferred Stock reported to be outstanding in the Issuers Current Report on Form 10-Q filed with the Securities and Exchange Commission on November 15, 2010.
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(b)
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Number of shares as to which Mr. Ammerman has:
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(i)
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sole power to vote or to direct the vote:
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64,297 shares
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(ii)
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shared power to vote or direct the vote:
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0 shares
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(iii)
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sole power to dispose or to direct the disposition:
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64,297 shares
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(iv)
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shared power to dispose or to direct the disposition:
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0 shares
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(c)
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Between December 9, 2010 and December 14, 2010, Mr. Ammerman acquired 40,570 shares of Preferred Stock in open market transactions at a price of $9.00
per share. Between December 29, 2010 and January 5, 2011, Mr. Ammerman acquired an additional 12,800 shares of Preferred Stock in open market transactions at a price of $9.03 per share.
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Page 3 of 5
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Page 4 of 5
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SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
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Dated: January 5, 2011
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/
S
/ R
OBERT
C.
A
MMERMAN
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Robert C. Ammerman
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Page 5 of 5
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