Statement of Changes in Beneficial Ownership (4)
30 Décembre 2020 - 10:31PM
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).
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
*
SAKSA BRYAN |
2. Issuer Name and Ticker or Trading Symbol
AVALON HOLDINGS CORP
[
AWX
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CHIEF FINANCIAL OFFICER |
(Last)
(First)
(Middle)
C/O AVALON HOLDINGS CORPORATION, ONE AMERICAN WAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/28/2020 |
(Street)
WARREN, OH 44484
(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 | 12/28/2020 | | M | | 24000 | A | $1.83 | 24000 | D | |
Common Stock (1) | 12/28/2020 | | S(2) | | 24000 | D | $4.50 | 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 |
Stock Options (Right to Buy) | $1.83 | 12/28/2020 | | M | | | 24000 | 3/16/2016 (3) | 3/16/2026 | Class A Common Stock | 24000 | $0 | 54000 | D | |
Explanation of Responses: |
(1) | The shares sold were acquired contemporaneously upon the cashless exercise of a stock option at an exercise price of $1.83 per share. |
(2) | The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting person on November 18, 2020. |
(3) | 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. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
SAKSA BRYAN C/O AVALON HOLDINGS CORPORATION ONE AMERICAN WAY WARREN, OH 44484 |
|
| CHIEF FINANCIAL OFFICER |
|
Signatures
|
/s/ Bryan P. Saksa, Chief Financial Officer | | 12/30/2020 |
**Signature of Reporting Person | Date |
Avalon Holdngs (AMEX:AWX)
Graphique Historique de l'Action
De Nov 2024 à Déc 2024
Avalon Holdngs (AMEX:AWX)
Graphique Historique de l'Action
De Déc 2023 à Déc 2024