-----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, UlrMW8AHKer5hA6GMu6R2r2G2oqSFVCJRyWsARwH7t/CZv05qIC7ypUYiILL6R4k 0xdbUe7L0y/ua1q9MiptZw== 0001169232-02-002242.txt : 20021024 0001169232-02-002242.hdr.sgml : 20021024 20021024124024 ACCESSION NUMBER: 0001169232-02-002242 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021022 FILED AS OF DATE: 20021024 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AMERITRANS CAPITAL CORP CENTRAL INDEX KEY: 0001064015 IRS NUMBER: 522102424 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-08847 FILM NUMBER: 02797006 BUSINESS ADDRESS: STREET 1: 747 THIRD AVENUE STREET 2: 4TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10117 BUSINESS PHONE: 2123552449 MAIL ADDRESS: STREET 1: 747 THIRD AVENUE STREET 2: 4TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10217 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: GRANOFF GARY C CENTRAL INDEX KEY: 0000941883 RELATIONSHIP: DIRECTOR IRS NUMBER: 079389866 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: ELK ASSOCIATES FUNDING CORP STREET 2: 747 THIRD AVE, 4TH FL CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2129221177 MAIL ADDRESS: STREET 1: C/O ELK ASSOCIATES FUNDING CORP STREET 2: 747 THIRD AVE 4TH FL CITY: NEW YORK STATE: NY ZIP: 10017 4 1 d52255_4.txt FORM 4 ------------------------------ OMB APPROVAL ----------------------------- OMB Number Expires: Estimated average burden hours per response ....... ----------------------------- U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP |_| Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ________________________________________________________________________________ 1. Name and Address of Reporting Person* Granoff Gary C. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 747 Third Avenue - -------------------------------------------------------------------------------- (Street) New York New York 10017 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol Ameritrans Capital Corporation (AMTC) & (AMTCP) ________________________________________________________________________________ 3. IRS or Social Security Number of Reporting Person (Voluntary) ###-##-#### ________________________________________________________________________________ 4. Statement for Month/Day/Year 10/22/02 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) ________________________________________________________________________________ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) |X| Director |X| 10% Owner |X| Officer (give title below) |_| Other (specify below) 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 ________________________________________________________________________________ ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
6. 2A. 4. 5. Owner- Deemed Securities Acquired (A) or Amount of ship Execution 3. Disposed of (D) Securities Form: 7. Date Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. if any, Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Month/ (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date Day/ ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Year) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock Par Value $.0001 16,900 I (1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock Par Value $.0001 261 I (2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock Par Value $.0001 10/22/02 P 138 A $5.45 211,680 D (3) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock Par Value $.0001 77,584 I (4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock Par Value $.0001 10,000 I (5) - ------------------------------------------------------------------------------------------------------------------------------------ 9 3/8% Participating Preferred Stock 10/22/02 P 100 A $9.20 2,500 D (6) - ------------------------------------------------------------------------------------------------------------------------------------ 9 3/8% Participating Preferred Stock 10/22/02 P 400 A $9.25 2,500 D (6) - ------------------------------------------------------------------------------------------------------------------------------------ 9 3/8% Participating Preferred Stock 10/22/02 P 200 A $9.25 2,500 D (6) - ------------------------------------------------------------------------------------------------------------------------------------ 9 3/8% Participating Preferred Stock 500 I (4) - ------------------------------------------------------------------------------------------------------------------------------------ 9 3/8% Participating Preferred Stock 1,000 I (5) ====================================================================================================================================
FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 3A. 4. Securities Date Securities Price Bene- ity: In- cise 3. Deemed Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- Execution action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Date Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date if any, (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Options (Right Pre- Common to Buy) $9.77 sently 1/11/04 Stock 30,000 30,000 D - ------------------------------------------------------------------------------------------------------------------------------------ Pre- Common Warrants $6.70 1,800 sently 4/18/07 Stock 1,800 $1.38 1,800 D (7) - ------------------------------------------------------------------------------------------------------------------------------------ Pre- Common Warrants $6.70 500 sently 4/18/07 Stock 500 $1.38 500 I (4) - ------------------------------------------------------------------------------------------------------------------------------------ Pre- Common Warrants $6.70 1,000 sently 4/18/07 Stock 1,000 $1.38 1,000 I (5) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: (1) These shares are owned by Mr. Granoff and his mother and brother as trustee for The Granoff Family Foundation. (2) These shares are held by GCG Associates Inc., a corporation controlled by Mr. Granoff. (3) Does not include 29,933 shares owned directly and indirectly by Mr. Granoff's wife as to which he disclaims beneficial ownership. (4) These shares, preferred stock, and warrants are owned by DAPARY Management Corp., a corporation controlled by Mr. Granoff. (5) These shares, preferred stock, and warrants are owned by J&H Associates Ltd Pts, a partnership whose general partner is GCG Associates Inc., a corporation controlled by Mr. Granoff. (6) Does not include 1,000 shares of preferred stock owned directly by Mr. Granoff's wife as to which he disclaims beneficial ownership. (7) Does not include 1,000 warrants owned directly by Mr. Granoff's wife as to which he disclaims beneficial ownership. /s/ Gary C. Granoff October 24, 2002 ------------------------------- ------------------- Gary C. Granoff 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 provided is insufficient, see Instruction 6 for procedure. -----END PRIVACY-ENHANCED MESSAGE-----