Filing Details
- Accession Number:
- 0001437749-18-020458
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-11-13 09:21:19
- Reporting Period:
- 2018-11-09
- Accepted Time:
- 2018-11-13 09:21:19
- 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 |
|---|---|---|---|---|---|---|---|
| 1398071 | Dean Kurtis Gramley | 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 | 307 | $4.65 | 14,693 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-11-09 | 313 | $4.64 | 14,380 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-11-09 | 1,001 | $4.63 | 13,379 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-11-09 | 4,229 | $4.60 | 9,150 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-11-09 | 532 | $4.55 | 8,618 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-11-09 | 900 | $4.52 | 7,718 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-11-09 | 7,718 | $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 | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | 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 31, 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.
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