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Schedule 13D
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Page
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5
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 7)*
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Ameritrans Capital Corporation
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(Name of Issuer)
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9 3/8% Cumulative Participating Redeemable Preferred Stock (face value $12.00)
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(Title of Class of Securities)
(CUSIP Number)
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Robert C. Ammerman (617) 478-9612
c/o Capital Resource Partners, 31 State Street, Boston, MA 02109
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(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of
§§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.
¨
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*
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The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for
any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
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The information
required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the Notes).
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CUSIP No.
03073H207
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13D
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Page
2
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5
Pages
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1
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NAMES OF REPORTING PERSONS.
Robert C. Ammerman
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2
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CHECK THE APPROPRIATE BOX IF A
MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a)
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(b)
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS (SEE
INSTRUCTIONS)
PF
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5
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CHECK IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
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6
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CITIZENSHIP OR PLACE OF
ORGANIZATION
United States
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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7
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SOLE VOTING POWER
100,759 shares
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8
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SHARED VOTING POWER
0 shares
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9
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SOLE DISPOSITIVE POWER
100,759 shares
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10
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SHARED DISPOSITIVE POWER
0 shares
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
100,759 shares
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12
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CHECK IF THE AGGREGATE AMOUNT IN
ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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13
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PERCENT OF CLASS REPRESENTED BY
AMOUNT IN ROW (11)
34%
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14
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TYPE OF REPORTING PERSON (SEE
INSTRUCTIONS)
IN
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Page 2 of 5
pages
Schedule 13D
This Amendment No. 7 amends the Statement on Schedule 13D (the “Schedule 13D”) filed with the Securities and Exchange commission on December 17, 2010 by Robert C. Ammerman with respect
to shares of the 9 3/8% Cumulative Participating Redeemable Preferred Stock (face value $12.00) of Ameritrans Capital Corporation.
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Item 3.
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Source and Amount of Funds or Other Consideration
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Item 3 is hereby amended and restated to read as follows:
Mr. Ammerman, personally and through self-directed retirement accounts, is the owner of 100,759 shares of Preferred Stock of the
Issuer (the “Record Shares”). Mr. Ammerman acquired the Record Shares with approximately $785,000 in personal funds.
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Item 4.
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Purpose of Transaction
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Item 4 is hereby amended and restated to read as follows:
Mr. Ammerman acquired the Record Shares for investment purposes. Mr. Ammerman currently intends to obtain control of a majority of the issued shares of the 9 3/8% Cumulative Participating
Redeemable Preferred Stock (face value $12.00) of the Issuer, and to exercise corresponding voting and control rights in the Issuer, which may result in all or some of the transactions identified in clauses (a)-(j) of Item 4 of Schedule
13D.
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Item 5.
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Interest in Securities of the Issuer
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Item 5 is hereby amended and restated to read as follows:
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(a)
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Mr. Ammerman, personally and through self-directed retirement accounts, is the record and beneficial owner of the Record Shares (i.e., 100,759 shares of Preferred
Stock).
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The Record Shares represent 34% of the Preferred Stock of the Issuer, which percentage is calculated
based upon 300,000 shares of Preferred Stock reported to be outstanding in the Issuer’s Annual Report on Form 10-K/A filed with the Securities and Exchange Commission on October 29, 2012.
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(b)
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Number of shares as to which Mr. Ammerman has:
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(i)
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sole power to vote or to direct the vote:
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100,759 shares
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(ii)
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shared power to vote or direct the vote:
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0 shares
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(iii)
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sole power to dispose or to direct the disposition:
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100,759 shares
Page 3 of 5
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(iv)
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shared power to dispose or to direct the disposition:
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0 shares
(c) Between December 9, 2010 and December 14,
2010, Mr. Ammerman acquired 40,570 shares of Preferred Stock in open market transactions at a price of $9.00 per share. On December 29, 2010 and December 30, 2010, Mr. Ammerman acquired an additional 11,100 shares of Preferred
Stock in open market transactions at a price of $9.03 per share. Between January 5, 2011 and January 19, 2011, Mr. Ammerman acquired 2,150 shares of Preferred Stock at a price of $9.03 per share and 9,900 shares at $9.00 per share in
open market transactions. Between February 1, 2011 and April 8, 2011, Mr. Ammerman acquired 500 shares of Preferred Stock at a price of $9.00 per share; 2,080 shares at a price of $9.50 per share; 300 shares at a price of $9.25 per
share, and 3,620 shares at a price of $9.30 per share in open market transactions. Between June 21 and June 23, 2011, Mr. Ammerman acquired 3,877 shares of Preferred Stock at a price of $9.50 per share in open market transactions.
Between October 6 and October 17, 2011, Mr. Ammerman acquired 1,000 shares of Preferred Stock at a price of $5.00 per share in open market transactions. Between October 25 and October 31, 2011, Mr. Ammerman acquired
2,000 shares of Preferred Stock at a price of $4.25 per share in open market transactions. Between November 2 and November 15, 2011, Mr. Ammerman acquired 1,213 shares of Preferred Stock at a price of $4.00 per share in open market
transactions. On November 22, 2011, Mr. Ammerman acquired 1,523 shares of Preferred Stock at a price of $2.50 per share. Between May 16, 2012 and May 31, 2012, Mr. Ammerman acquired 1,000 shares of Preferred Stock at a price
of $1.00 per share; 2,500 shares at $1.10 per share; 1,500 shares at $1.25 per share. On July 18, 2012, Mr. Ammerman acquired 250 shares of Preferred Stock at a price of $1.10 per share. Between August 10, 2012 and August 17,
2012, Mr. Ammerman acquired 854 shares of Preferred Stock at a price of $1.10 per share. Between September 10, 2012 and September 12, 2012, Mr. Ammerman acquired 2,095 shares of Preferred Stock at a price of $1.10 per share. On
October 22, 2012, Mr. Ammerman acquired 1,200 shares of Preferred Stock at a price of $1.18 per share. Mr. Ammerman also acquired 100 shares of Preferred Stock at a price of $1.22 per share on October 25, 2012, 500 shares of
Preferred Stock at a price of $2.50 per share on November 1, 2012, 7,245 shares of Preferred Stock at a price of $7.00 per share on November 9, 2012, 1,000 shares of Preferred Stock at a price of $7.00 per share on November 12, 2012,
2,000 shares of Preferred Stock at a price of $6.75 per share on November 19, 2012, and 500 shares of Preferred Stock at a price of $6.10 per share on November 19, 2012.
Page 4 of 5
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SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Dated: November 28, 2012
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/s/ Robert C. Ammerman
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Robert C. Ammerman
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Page 5 of 5
pages
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