SEC Form 4 · accession 0001683168-17-000602
Alto Ingredients, Inc. · ALTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher W Wright
Officer — VP, Gen. Counsel & Secy
Period of report
Mar 15, 2017
Accepted (ET)
Mar 17, 2017 · 4:25 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000778164
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 15, 2017 | A | 25,337 | $0.00 | A | 86,153 | D | |
| Common Stock | Mar 16, 2017 | M | 10,000 | $3.74 | A | 96,153 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1 | $3.74 | Mar 16, 2017 | M | 10,000 | D | — | Jun 24, 2023 | Common Stock | 10,000 | 21,746 | D |
Explanation of responses
- F1The option, covering a total of 31,746 shares of common stock, vested 33%, 33% and 34% on April 1, 2014, 2015 and 2016, respectively.