SEC Form 4 · accession 0000095953-15-000014
ASCENT INDUSTRIES CO. · ACNT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Kyle Pennington J.
Officer — President of subsidiary
Period of report
Feb 10, 2015
Accepted (ET)
Feb 11, 2015 · 2:45 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000095953
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 4,754 | I | 401(k) Trust | |
| Common Stock | holding | — | — | — | 2,378 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF2,F1 | $16.01 | Feb 10, 2015 | A | 2,623 | A | — | Feb 10, 2025 | Common Stock | 2,623 | 2,623 | D |
| Employee Stock Option (right to buy)F1 | $11.345 | holding | — | — | — | — | Feb 9, 2022 | Common Stock | 3,914 | 3,914 | D |
| Employee Stock Option (right to buy)F3 | $13.70 | holding | — | — | — | — | Feb 7, 2023 | Common Stock | 4,051 | 4,051 | D |
Explanation of responses
- F1Options vest in equal installments of 20% beginning one year from date of grant.
- F2N/A
- F3Options vest in equal installments of 20% beginning one year from date of grant on 02/07/2013.