-----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, IDF1SwqXnERJrEdWZyUZeEq+mAF6r+FwWmBAWnQ2lmE52WZi/9U+6Q/6zwOqYW+n qbU0VPOd0UEbn9i0SiC97Q== 0000903112-99-000131.txt : 19990222 0000903112-99-000131.hdr.sgml : 19990222 ACCESSION NUMBER: 0000903112-99-000131 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990212 FILED AS OF DATE: 19990219 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: 3 SEC ACT: SEC FILE NUMBER: 000-20292 FILM NUMBER: 99545901 BUSINESS ADDRESS: STREET 1: 500 BROADWAY STREET 2: MAIL STOP 3-36 CITY: REDWOOD CITY STATE: CA ZIP: 94063-3199 BUSINESS PHONE: 6503672011 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: MARIONE RAYMOND J CENTRAL INDEX KEY: 0001080092 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: C/O BATTLE FOWLER LLP STREET 2: 75 EAST 55TH ST CITY: NEW YORK STATE: NY ZIP: 10022 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 3 1 FORM 3 OMB Number 3235-0104 Expires: September 30, 1998 Estimated average burden hours per response....0.5 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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(f) of the Investment Company Act of 1940 1. Name and Address of Reporting Person* Marione Raymond J. (Last) (First) (Middle) 135 East 57th Street (Street) New York NY 10022 (City) (State) (Zip) 2. Date of Event Requiring Statement (Month/Day/Year) 02/12/99 3. IRS Identification Number of Reporting Person, if an entity (voluntary) 4. Issuer Name and Ticker or Trading Symbol Ampex Corporation (AXC) 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) / / Director / / 10% Owner /x/ Officer (give title below) / / Other (specify below) Vice President 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
1. Title of 2. Amount 3. Ownership 4. Nature of Indirect Security of Form: Beneficial Ownership (Instr.4) Securities Direct (D) or (Instr. 5) Beneficially Indirect Owned (I) (Instr. 4) (Instr. 5) - ------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. *If the form is filed by more than one reporting person, see Instruction 5(b)(v) 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 control number. (over) SEC 1474 (7-97)
FORM 3 (continued) TABLE II - Derivative Securities Benefically Owned (e.g., puts, calls, warrants, options, convertible securities) 1. Title of 2. Date 3. Title and 4. Conversion 5. Ownership 6. Nature of Indirect Derivative Exercisable Amount of or Exercise Form of Beneficial Ownership Security and Securities Price of Derivative (Instr. 5) (Instr.4) Expiration Underlying Derivative Security: Date Security (Instr. 4) Security Direct (D) or (Month/Day/Year) Indirect (I) (Instr. 5) Date Expira- Title Amount or Exer- tion Number of cisable Date Shares - ---------------------------------------------------------------------------------------------------------------------------------- Option to acquire (Note 1) (Note 1) Class A Common Stock 100,000 $3.675 D - ----------------------------------------------------------------------------------------------------------------------------------- (Note 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 February 2, 2000, and as to an additional 8.25% quarterly thereafter until February 2, 2002. The option expres as to equivalent percentages of underlying shares 15 months after the applicable vesting date for such shares. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). /s/ Raymond J. Marione 2/18/99 **Signature of Reporting Person Date 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. Page 2 SEC 1474 (7-97) -----END PRIVACY-ENHANCED MESSAGE-----