-----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, EfTw+lizL5As3QJ08ONvJvZXDt/H5RjdgHyLGOcyb8jCYY4QxtQVLmfYHzJvC53z M7n0aUzp1vnZWwh2ZDQOVA== 0001012870-99-001854.txt : 20020715 0001012870-99-001854.hdr.sgml : 19990610 ACCESSION NUMBER: 0001012870-99-001854 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990525 FILED AS OF DATE: 19990609 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: 99642494 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: ATCHISON ROBERT L CENTRAL INDEX KEY: 0001028326 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER STATE OF INCORPORATION: CA FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O AMPEX CORP STREET 2: 500 BROADWAY CITY: REDWOOD STATE: CA ZIP: 94063 BUSINESS PHONE: 2128566826 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 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 OMB APPROVAL ----------------------------- [_] Check this box if no longer OMB NUMBER: 3235-0287 subject to Section 16. Form 4 Expires: September 30, 1998 or Form 5 obligations may Estimated average burden continue. See Instruction 1(b). hours per response ...... 0.5 ----------------------------- STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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 (Print or Type Responses) - -------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* Atchison, Robert L. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 500 Broadway, M/S 1202 - -------------------------------------------------------------------------------- (Street) Redwood City, CA 94063-3199 - -------------------------------------------------------------------------------- (City) (State) (Zip) - -------------------------------------------------------------------------------- 2. Issuer Name and Ticker or Trading Symbol Ampex Corporation (AXC) - -------------------------------------------------------------------------------- 3. IRS Identification Number of Reporting Person, if an entity (Voluntary) - -------------------------------------------------------------------------------- 4. Statement for Month/Year 5/99 - -------------------------------------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) - -------------------------------------------------------------------------------- 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director 10% Owner ----- ------ X Officer (give Other (Specify ----- title below) ------ below) Vice President ---------------------------------- - -------------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check Applicable Laws) X Form filed by One Reporting Person ---- Form filed by More than One Reporting Person ----
Table 1 -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1. Title of Security 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Ownership 7. Nature (Instr. 3) action action or Disposed of (D) Securities Form: of Indirect Date Code Beneficially Direct Beneficial (Instr. 8) (Instr. 3,4 and 5) Owned at (D) or Ownership (Month/ ------------ -------------------------- End of Month Indirect (Instr. 4) Day/ Code V Amount (A) or Price (Instr. 3 (I) Year) (D) and 4) (Instr. 4) - -------------------------- ---------- ------ ---- -------- ------ ------ -------------- ------------ ------------- Class A Common Stock 5/26/99 S 22,300 D 4 5/16 $ 0 D - -------------------------- ---------- ------ ---- -------- ------ ------ -------------- ------------ ------------- Class A Common Stock 5/26/99 S 7,500 D 4 3/8 $ 0 D - -------------------------- ---------- ------ ---- -------- ------ ------ -------------- ------------ ------------- Class A Common Stock 5/26/99 S 840 D 4 1/2 $ 0 D - -------------------------- ---------- ------ ---- -------- ------ ------ -------------- ------------ ------------- Class A Common Stock 5/26/99 S 4,700 D 4 7/16 $ 0 D - -------------------------- ---------- ------ ---- -------- ------ ------ -------------- ------------ ------------- Class A Common Stock 5/28/99 S 16,000 D 4 1/2 $ 0 D - -------------------------- ---------- ------ ---- -------- ------ ------ -------------- ------------ ------------- - -------------------------- ---------- ------ ---- -------- ------ ------ -------------- ------------ -------------
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 4(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 4 (continued)
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 1. Title of Derivative Security 2. Conversion 3. Transaction 4. Transacation 5. Number of Derivative 6. Date Exercisable (Instr. 3) or Exercise Date Code Securities Acquired (A) and Expiration Price of (Month/Day/ (Instr. 8) or Disposed of (D) Date Derivative Year) (Instr. 3, 4, and 5) (Month/Day/ Security Year) --------------- -------------------------- ------------------- Code V (A) (D) Date Expiration Exer- Date cisable - ------------------------------- -------------- -------------- -------- ----- --------------- ---------- -------- ---------- Option to acquire (Note 1) 1.0625 5/25/99 M V 17,660 5/6/99 8/6/00 - ------------------------------- -------------- -------------- -------- ----- --------------- ---------- -------- ---------- Option to acquire (Note 1) 1.0625 5/25/99 M V 17,680 5/6/99 11/6/08 - ------------------------------- -------------- -------------- -------- ----- --------------- ---------- -------- ---------- Option to acquire (Note 1) 1.0625 5/28/99 M V 4,440 5/6/99 8/6/00 - ------------------------------- -------------- -------------- -------- ----- --------------- ---------- -------- ---------- Option to acquire (Note 1) 1.0625 5/28/99 M V 11,560 5/6/99 11/6/08 - ------------------------------- -------------- -------------- -------- ----- --------------- ---------- -------- ---------- - ------------------------------- -------------- -------------- -------- ----- --------------- ---------- -------- ---------- - ------------------------------- -------------- -------------- -------- ----- --------------- ---------- -------- ---------- - ------------------------------- -------------- -------------- -------- ----- --------------- ---------- -------- ---------- - ------------------------------- -------------- -------------- -------- ----- --------------- ---------- -------- ----------
7. Title and Amount of 8. Price of Derivative 9. Number of Derivative 10. Ownership Form 11. Nature of Indirect Underlying Securities Security (Instr. 5) Securities Beneficially of Derivative Security: Beneficial Ownership (Instr. 3 and 4) Owned at End of Month Direct (D) or (Instr. 4) (Instr. 4) Indirect (I) (Instr. 4) - ------------------------ Title Amount or Number of Shares - ------------------------ ---------------------- -------------------------- --------------------------- ------------------------ Class A Common Stock 17,660 $ 0 0 D - ------------------------ ---------------------- -------------------------- --------------------------- ------------------------ Class A Common Stock 17,680 $ 0 0 D - ------------------------ ---------------------- -------------------------- --------------------------- ------------------------ Class A Common Stock 4,440 $ 0 0 D - ------------------------ ---------------------- -------------------------- --------------------------- ------------------------ Class A Common Stock 11,560 $ 0 0 D - ------------------------ ---------------------- -------------------------- --------------------------- ------------------------ - ------------------------ ---------------------- -------------------------- --------------------------- ------------------------ - ------------------------ ---------------------- -------------------------- --------------------------- ------------------------ - ------------------------ ---------------------- -------------------------- --------------------------- ------------------------ - ------------------------ ---------------------- -------------------------- --------------------------- ------------------------
Explanation of Responses: Note 1 - Exercise of non-qualified stock option granted pursuant to Rule 16(b) under the Ampex Corporation Stock Incentive Plan (the "Plan"). The Column 9 total includes other options outstanding under the Plan that have identical exercise prices and exercisability dates. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). /s/ Robert L. Atchison 6-7-99 _______________________________ ______________ **Signature of Reporting Person Date Robert L. Atchison 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-----