-----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, ADoPEfOQm9YirXwyzvxvI0z5lfGgjFXqxJooWZ2WiPZGWLXSwd3JD+H10h6Jb1pF CvFJ8DS5F3pR6iMtYOlLVA== 0000891092-01-500452.txt : 20020816 0000891092-01-500452.hdr.sgml : 20020816 20010730165444 ACCESSION NUMBER: 0000891092-01-500452 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010501 FILED AS OF DATE: 20010730 COMPANY DATA: COMPANY CONFORMED NAME: INGRAM WILLIAM H CENTRAL INDEX KEY: 0001081191 DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O WALLER-SUTTON MANAGEMENT GROUP INC STREET 2: ONE ROCKAFELLER PLAZA CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 2122184360 MAIL ADDRESS: STREET 1: C/O WALLER-SUTTON MANAGEMENT GROUP INC STREET 2: ONE ROCKAFELLER PLAZA CITY: NEW YORK STATE: NY ZIP: 10020 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: REGENT COMMUNICATIONS INC CENTRAL INDEX KEY: 0000913015 STANDARD INDUSTRIAL CLASSIFICATION: RADIO BROADCASTING STATIONS [4832] IRS NUMBER: 311492857 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 333-46435 BUSINESS ADDRESS: STREET 1: 100 EAST RIVERCENTER BOULEVARD STREET 2: 9TH FLOOR CITY: COVINGTON STATE: KY ZIP: 41011 BUSINESS PHONE: 6062920030 MAIL ADDRESS: STREET 1: 100 EAST RIVERCENTER BLVD STREET 2: 9TH FLOOR CITY: COVINGTON STATE: KY ZIP: 41011 4 1 file001.txt FORM 4 - -------------------------------- ------------------------------ FORM 4 OMB APPROVAL - -------------------------------- ------------------------------ |_| Check this box if no OMB Number: 3235-0287 longer subject to Section Expires: December 31, 2001 16. Form 4 or Form 5 Estimated average burden obligations may continue. hours per response ....... 0.5 See Instruction 1(b). ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 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* Ingram William H. - -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o Waller-Sutton Management Group, Inc. One Rockefeller Plaza, Suite 3300 - -------------------------------------------------------------------------------- (Street) New York NY 10020 - -------------------------------------------------------------------------------- (City) (State) (Zip) - -------------------------------------------------------------------------------- 2. Issuer Name and Ticker or Trading Symbol Regent Communications, Inc. (RGCIP) - -------------------------------------------------------------------------------- 3. IRS or Social Security Number of Reporting Person (Voluntary) - -------------------------------------------------------------------------------- 4. Statement for Month/Year May 2001 - -------------------------------------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) - -------------------------------------------------------------------------------- 6. Relationship of Reporting Person 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 ================================================================================
5. Amount 3. Transaction 4. Securities Acquired of Securities 6. Ownership 7. Nature Code (A) or Disposed of (D) Beneficially Form: Direct of Indirect 1. Title of 2. Transaction (Instr. 8) (Instr. 3, 4 and 5) Owned at End (D) or Beneficial Security Date ------------------------------------------- of Month Indirect (I) Ownership (Instr. 3) (Month/Day/Year) Code V Amount (A)or(D) Price (Instr. 3 and 4) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
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). SEC 1474 (7/96) (Over) -1 of 3- FORM 4 (cont.) TABLE II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
==================================================================================================================================== 5. Number of Deriv- ative 6. Date 7. Title and Securities Exer- Amount of Acquired cisable Under- 9. Number 10. Owner- 4. Trans- (A) or and Ex- lying of Deriv- ship action Disposed piration Secur- ative Form of Code of (D) Date ities Secur Deriv- 11. Nature (Instr. (Instr. (Month/ (Instr. -ities ative of 1. Title 2. Conver- 8) 3, 4, 5) Day/Year) 3 and 4) Benefi- Security: Indirect of sion or 3. Trans- -------------------------------------------------- 8. Price of cially Direct Bene- Deriv- Exercise action Amount Deriv- Owned at (D) or ficial ative Price of Date Date Ex- of ative End of Indirect Owner- Security Deriv- (Month/ Exer- pir- Number Security Month (I) ship (Instr. ative Day/ cis- ation of (Instr. (Instr. (Instr. (Instr. 3) Security Year) Code V (A) (D) able Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ Director $7.76 05/17/01 A V 25,000 11/17/01 5/17/11 Common 25,000 25,000 D Stock (1) Stock, (2) (2) Option $.01 par (Right value to buy) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: (1) Options to purchase shares of Issuer's common stock granted under its 2001 Directors' Stock Option Plan (2) See attached. /s/ William H. Ingram July 17, 2001 - ----------------------------------------------- ----------------------- William H. Ingram 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 is insufficient, see Instruction 6 for procedure. Potential person 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 of 3 SEC 1474 (7/96) -2 of 3- Reporting Person: Ingram, William H. Issuer Name: Regent Communications, Inc. (RGCIP) Statement for: May 2001 (2) Reporting Person disclaims beneficial ownership of all of the securities reported. Reporting Person was initially appointed as a director pursuant to Waller-Sutton Media Partners, L.P.'s ("Waller-Sutton") right to nominate a director to the Issuer. Reporting Person has agreed to hold for the benefit of or cause to be issued directly to, or to be assigned to, Waller-Sutton any securities which he might otherwise be entitled to receive from a portfolio company in which Waller-Sutton invests. The Issuer is a portfolio company in which Waller-Sutton has invested. Accordingly, Waller-Sutton is the beneficial owner of the securities reported. -3 of 3- -----END PRIVACY-ENHANCED MESSAGE-----