Filing Details
- Accession Number:
- 0001437749-18-020457
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-11-13 09:21:10
- Reporting Period:
- 2018-11-09
- Accepted Time:
- 2018-11-13 09:21:10
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1061069 | Avalon Holdings Corp | AWX | Refuse Systems (4953) | 341863889 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1251836 | L Stephen Gordon | C/O Avalon Holdings Corporation One American Way Warren OH 44484 | Yes | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2018-11-09 | 15,000 | $2.48 | 15,000 | No | 4 | M | Direct | |
Common Stock | Disposition | 2018-11-09 | 15,000 | $4.50 | 0 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Class A Common Stock | Stock Options (Right to Buy) | Disposition | 2018-11-09 | 15,000 | $0.00 | 15,000 | $2.48 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
75,000 | 2010-03-01 | 2020-03-01 | No | 4 | M | Direct |
Footnotes
- The shares sold were acquired contemporaneously upon the cashless exercise of a stock option at an exercise price of $2.48 per share.
- The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting person on August 29, 2018.
- The date indicated is the grant date and the options vest in five equal installments beginning one year from the grant date. At the end of each vesting period, the Avalon Holdings Corporation Class A common stock must reach a predetermined market price within three years before the vested options are exercisable.