SEC Form 4/A · accession 0001144204-18-047604
ASCENT INDUSTRIES CO. · ACNT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owners
Ryan Levenson
10% Owner · Other
Privet Fund LP
10% Owner · Other
Privet Fund Management LLC
10% Owner · Other
Period of report
Feb 7, 2018
Accepted (ET)
Aug 31, 2018 · 4:44 pm 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 StockF4,F5,F2,F3 | Feb 7, 2018 | P | 11,087 | $12.81 | A | 1,028,110 | I | By Privet Fund LP |
| Common StockF4,F6,F2,F3 | Feb 8, 2018 | P | 864 | $12.89 | A | 1,028,974 | I | By Privet Fund LP |
| Common StockF1 | holding | — | — | — | 49,086 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This amendment is filed solely to correct inadvertent errors in reporting the total Amount of Securities Beneficially Owned Following Reported Transaction (s) [Box 5 of the Feb. 7 2018 Form 4]. This amendment does not report any additional transactions or modify the amount or price of the previously reported acquisitions.
- F2This report is filed jointly by Privet Fund LP, Privet Fund Management LLC and Ryan Levenson (collectively, the "Reporting Persons"). The Reporting Persons are filing this report because each of the Reporting Persons may be deemed to be a member of a Section 13(d) group disclosed in the Schedule 13D and any amendments thereto filed on behalf of the Reporting Persons and the other members of such group. As of February 8, 2018, the members of this Section 13(d) group collectively owned more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock held by the other members of such Section 13(d) group except to the extent of his or its pecuniary interest therein.
- F3As of February 8, 2018, (i) 1,028,974 shares were owned directly by Privet Fund LP and indirectly by Privet Fund Management LLC and Ryan Levenson, and (ii) 49,086 shares were owned directly by Privet Fund Management LLC and indirectly by Ryan Levenson.
- F4The price reported in Column 4 is a weighted average price. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, further information regarding the number of shares purchased at each separate price within the range set forth in footnotes (4) and (5) to this Form 4.
- F5These shares were purchased in multiple transactions at prices ranging from $12.74 to $13.24, inclusive.
- F6These shares were purchased in multiple transactions at prices ranging from $12.75 to $13.59, inclusive.