-----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, Vdj+mU2MHXm/cTe4f3zCMvDvwju6P+cNLZfiUYridXwXsQ99cOcaQQV+3D0V2Xcq 1bJfqIi73OjgIAios6kq5w== 0000903112-99-000848.txt : 19990712 0000903112-99-000848.hdr.sgml : 19990712 ACCESSION NUMBER: 0000903112-99-000848 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990618 FILED AS OF DATE: 19990709 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: SEC FILE NUMBER: 000-20292 FILM NUMBER: 99661354 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: STOLTZFUS WILLIAM A CENTRAL INDEX KEY: 0001028345 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O AMPEX CORP STREET 2: 65 E 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 4 1 FORM 4-WILLIAM A. STOLTZFUS, JR. 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).) Stoltzfus, William A., Jr. (Last) (First) (Middle) 135 East 57th Street (Street) New York NY 10022 (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) 6/99 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Persons to Issuer (Check all applicable) X Director ______ 10% Owner ------ _______ Officer (give title below) ______ Other (specify below) 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 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 (D) Price - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- (Over) SEC 1474 (7-97)
FORM 4 (Continued) 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 acquire $3.75 6/18/99 A V 10,000 6/18/99 9/18/00 - ----------------------------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------------------ - ----------------------------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------------------ - ----------------------------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------------------
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 acquire Class A 10,000 $0 (Note 1) D Common Stock - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------------------ - ----------------------------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: Note 1: Non-qualified stock option grant pursuant to Rule 16b-3 under the Ampex Corporation Stock Incentive Plan. The option becomes exercisable on the date of the issuer's 1998 Annual Meeting of Stockholders, and expires fifteen months thereafter. Note 2: This reporting person does not own any other options having the same exercise price and exercise period. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/William A. Stoltzfus, Jr. 7/8/99 See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). --------------------------------- -------- ** 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. -----END PRIVACY-ENHANCED MESSAGE-----