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AIQ Global X Funds Global X Future Analytics Tech ETF

38.45
0.26 (0.68%)
22 Nov 2024 - Closed
Delayed by 15 minutes
Name Symbol Market Type
Global X Funds Global X Future Analytics Tech ETF NASDAQ:AIQ NASDAQ Exchange Traded Fund
  Price Change % Change Price Bid Price Offer Price High Price Low Price Open Price Traded Last Trade
  0.26 0.68% 38.45 38.20 39.50 38.668 38.10 38.34 440,864 00:35:44

Statement of Changes in Beneficial Ownership (4)

22/08/2017 9:35pm

Edgar (US Regulatory)


FORM 4
[ X ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

JOHNS RICHARD W
2. Issuer Name and Ticker or Trading Symbol

Alliance HealthCare Services, Inc [ AIQ ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
COO and CLO
(Last)          (First)          (Middle)

C/O ALLIANCE HEALTHCARE SERVICES, INC., 100 BAYVIEW CIRCLE, SUITE 400
3. Date of Earliest Transaction (MM/DD/YYYY)

8/21/2017
(Street)

NEWPORT BEACH, CA 92660
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. 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 Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   8/21/2017     D (1)    4648   D $13.25   0   D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units     (2) 8/21/2017     D   (1)       6886      (3)   (2) Common Stock   6886   $13.25   0   D    
Stock Option (right to buy)   $5.70   8/21/2017     D   (1)       60000      (4) 1/31/2022   Common Stock   60000   $7.55   0   D    
Stock Option (right to buy)   $12.70   8/21/2017     D   (1)       6397      (4) 5/30/2023   Common Stock   6397   $0.55   0   D    
Stock Option (right to buy)   $28.70   8/21/2017     D   (1)       4656      (4) 1/31/2024   Common Stock   4656   $0.00   0   D    
Stock Option (right to buy)   $23.91   8/21/2017     D   (1)       5913      (4) 2/27/2025   Common Stock   5913   $0.00   0   D    
Stock Option (right to buy)   $6.93   8/21/2017     D   (1)       17128      (4) 3/23/2026   Common Stock   17128   $6.32   0   D    

Explanation of Responses:
(1)  Disposed of pursuant to the closing of the transactions contemplated by that certain Agreement and Plan of Merger, dated as of April 10, 2017 by and among the Issuer, Tahoe Investment Group Co., Ltd., THAIHOT Investment Company Limited, THAIHOT Investment Company US Limited and Alliance Healthcare Services Merger Sub Limited. Each share of Issuer common stock held by the reporting person was cancelled in the merger and converted into the right to receive $13.25 in cash per share, without interest and less any applicable withholding taxes (the "Merger Consideration").
(2)  Restricted Stock Units convert to common stock on a one to one basis upon the vesting thereof with no expiration date.
(3)  Restricted stock units were cancelled in the merger and converted into the right to receive a restricted cash award equal to (i) the number of shares of common stock subject to the restricted stock units multiplied by (ii) the Merger Consideration. The restricted cash award vests in equal amounts on March 23, 2018 and 2019, subject to continued service through each applicable vesting date.
(4)  Options were cancelled in the merger and converted into the right to receive an amount in cash determined by multiplying (i) the excess of the Merger Consideration over the option exercise price of such option by (ii) the number of shares of common stock subject to such option.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
JOHNS RICHARD W
C/O ALLIANCE HEALTHCARE SERVICES, INC.
100 BAYVIEW CIRCLE, SUITE 400
NEWPORT BEACH, CA 92660


COO and CLO

Signatures
Lindsay Soule, as Attorney-in-Fact for Richard W. Johns 8/21/2017
** Signature of Reporting Person Date


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).
** 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.
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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