SEC Form 4 · accession 0000095953-16-000211
ASCENT INDUSTRIES CO. · ACNT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Craig C Bram
Officer — CEO & President · Director
Period of report
Sep 6, 2016
Accepted (ET)
Sep 7, 2016 · 11:21 am EDT
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 | Sep 6, 2016 | P | 26,500 | $7.46 | A | 161,552 | D | |
| Common Stock | holding | — | — | — | 28,763 | I | Spouse | |
| Common Stock | holding | — | — | — | 2,548 | I | IRA | |
| Common Stock | holding | — | — | — | 3,150 | I | 401(k) Trust |
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 | $11.55 | holding | — | — | — | — | Jan 24, 2021 | Common Stock | 82,342 | 82,342 | D |
| Employee Stock Option (right to buy)F1 | $11.345 | holding | — | — | — | — | Feb 9, 2022 | Common Stock | 8,264 | 8,264 | D |
| Employee Stock Option (right to buy)F1 | $13.70 | holding | — | — | — | — | Feb 7, 2023 | Common Stock | 6,843 | 6,843 | D |
| Employee Stock Option (right to buy)F1 | $16.01 | holding | — | — | — | — | Feb 10, 2025 | Common Stock | 5,075 | 5,075 | D |
Explanation of responses
- F1Options vest in equal installments of 20% beginning one year from date of grant.