Statement of Changes in Beneficial Ownership (4)
November 28 2012 - 3:40PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Ammerman Robert C
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2. Issuer Name
and
Ticker or Trading Symbol
AMERITRANS CAPITAL CORP
[
AMTC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
C/O CAPITAL RESOURCE PARTNERS, 31 STATE STREET
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3. Date of Earliest Transaction
(MM/DD/YYYY)
12/29/2010
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(Street)
BOSTON, MA 02109
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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9 3/8% Cumulative Participating Redeemable Preferred Stock
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10/17/2011
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P
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568
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A
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$5.00
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62074
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I
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See Footnote
(2)
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9 3/8% Cumulative Participating Redeemable Preferred Stock
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10/25/2011
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P
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400
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A
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$4.25
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62474
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I
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See Footnote
(2)
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9 3/8% Cumulative Participating Redeemable Preferred Stock
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10/26/2011
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P
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172
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A
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$4.25
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62646
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I
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See Footnote
(2)
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9 3/8% Cumulative Participating Redeemable Preferred Stock
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10/31/2011
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P
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1428
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A
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$4.25
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62074
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I
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See Footnote
(2)
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9 3/8% Cumulative Participating Redeemable Preferred Stock
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11/2/2011
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P
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18
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A
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$4.00
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64092
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I
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See Footnote
(2)
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9 3/8% Cumulative Participating Redeemable Preferred Stock
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11/4/2011
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P
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50
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A
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$4.00
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64142
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I
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See Footnote
(2)
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9 3/8% Cumulative Participating Redeemable Preferred Stock
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11/7/2011
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P
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500
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A
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$4.00
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64642
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I
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See Footnote
(2)
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9 3/8% Cumulative Participating Redeemable Preferred Stock
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11/9/2011
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P
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225
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A
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$4.00
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64867
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I
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See Footnote
(2)
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9 3/8% Cumulative Participating Redeemable Preferred Stock
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11/10/2011
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P
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300
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A
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$4.00
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65167
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I
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See Footnote
(2)
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9 3/8% Cumulative Participating Redeemable Preferred Stock
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11/14/2011
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P
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20
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A
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$4.00
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65187
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I
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See Footnote
(2)
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9 3/8% Cumulative Participating Redeemable Preferred Stock
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11/15/2011
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P
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100
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A
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$4.00
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62287
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I
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See Footnote
(2)
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9 3/8% Cumulative Participating Redeemable Preferred Stock
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11/22/2011
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P
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1523
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A
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$2.50
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66810
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I
(1)
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See Footnote
(2)
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9 3/8% Cumulative Participating Redeemable Preferred Stock
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5/16/2012
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P
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1000
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A
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$1.00
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25000
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D
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9 3/8% Cumulative Participating Redeemable Preferred Stock
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5/23/2012
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P
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2500
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A
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$1.10
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27500
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D
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9 3/8% Cumulative Participating Redeemable Preferred Stock
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5/31/2012
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P
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1500
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A
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$1.25
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29000
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D
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9 3/8% Cumulative Participating Redeemable Preferred Stock
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7/18/2012
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P
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250
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A
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$1.10
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29250
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D
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9 3/8% Cumulative Participating Redeemable Preferred Stock
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8/10/2012
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P
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794
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A
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$1.10
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30044
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D
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9 3/8% Cumulative Participating Redeemable Preferred Stock
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8/14/2012
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P
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60
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A
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$1.10
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30104
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D
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9 3/8% Cumulative Participating Redeemable Preferred Stock
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9/5/2012
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P
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520
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A
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$1.10
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30624
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D
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9 3/8% Cumulative Participating Redeemable Preferred Stock
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9/7/2012
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P
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1375
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A
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$1.10
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31999
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D
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9 3/8% Cumulative Participating Redeemable Preferred Stock
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9/11/2012
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P
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200
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A
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$1.10
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32199
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D
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9 3/8% Cumulative Participating Redeemable Preferred Stock
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10/22/2012
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P
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1200
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A
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$1.18
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33399
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D
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9 3/8% Cumulative Participating Redeemable Preferred Stock
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10/25/2012
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P
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100
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A
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$1.22
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33499
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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The reporting person disclaims beneficial ownership of all such shares except to the extent of his pecuniary interest therein.
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(
2)
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Shares held indirectly are held by the reporting person's IRA and by his foundation.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Ammerman Robert C
C/O CAPITAL RESOURCE PARTNERS
31 STATE STREET
BOSTON, MA 02109
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X
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Signatures
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/s/ Robert C. Ammerman
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11/28/2012
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who 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.
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