Form 4 for ACNT ASCENT INDUSTRIES CO.
Accepted 2021-12-27 00:00:00 ET · period of report 2021-12-16 · accession 0000095953-21-000110 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2021-12-27 | 2021-12-16 | ACNT | Guy Henry L | Dir | M - OptEx | $12.75 | +11.0K | 147.90 | New | +$140.7K |
| DMI | 2021-12-27 | 2021-12-16 | ACNT | Guy Henry L | Dir | A - Grant | $12.75 | +29 | 154.90 | +23% | +$369.75 |
| D | 2021-12-27 | 2021-12-16 | ACNT | Guy Henry L | Dir | M - OptEx | $12.75 | +5,837 | 59.9K | +11% | +$74.4K |
| DMI | 2021-12-27 | 2021-12-16 | ACNT | Guy Henry L | Dir | M - OptEx | $0.00 | -11.1K | 0 | -100% | $0 |
| D | 2021-12-27 | 2021-12-16 | ACNT | Guy Henry L | Dir | M - OptEx | $0.00 | -5,837 | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-12-16 | M | A | 10,118 | $12.75 | 157,863 | I | — | — | (F1) On November 30, 2021, the issuer commenced a rights offering pursuant to which the issuer distributed non transferable subscription rights (the "Subscription Rights") to holders of record of it common stock as of 5:00 p.m. New York Time, on November 29, 2021. Each eligible recordholder received on Subscription Right for each share of common stock held of record by such holder as of the record date. Each Subscription Right entitled its holder, subject to certain limitations and conditions, to purchase 0.083768 shares of common stock at a subscription price of $12.75 per whole share. Holders of Subscription Rights that exercised in full such basic subscription rights were entitled, subject to certain limitations and conditions, to oversubscribe for additional shares of common stock that remained unsubscribed for the rights offering. The rights offering expired on December 16, 2021 and the Company announced the results of the offering on December 17, 2021. (F3) The Reporting Person is an advisor of Pittco Direct Investment I. Pittco Direct Investment I is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the Pittco Direct Investment I shares in which the Reporting Person has no pecuniary interest. |
| 2 | Common | Common Stock | 2021-12-16 | A | A | 11 | $12.75 | 147.90 | I UTMA for Child - G. E. Guy | — | — | (F1) On November 30, 2021, the issuer commenced a rights offering pursuant to which the issuer distributed non transferable subscription rights (the "Subscription Rights") to holders of record of it common stock as of 5:00 p.m. New York Time, on November 29, 2021. Each eligible recordholder received on Subscription Right for each share of common stock held of record by such holder as of the record date. Each Subscription Right entitled its holder, subject to certain limitations and conditions, to purchase 0.083768 shares of common stock at a subscription price of $12.75 per whole share. Holders of Subscription Rights that exercised in full such basic subscription rights were entitled, subject to certain limitations and conditions, to oversubscribe for additional shares of common stock that remained unsubscribed for the rights offering. The rights offering expired on December 16, 2021 and the Company announced the results of the offering on December 17, 2021. |
| 3 | Common | Common Stock | 2021-12-16 | M | A | 18 | $12.75 | 154.90 | I UTMA for Child E. K. Guy | — | — | (F1) On November 30, 2021, the issuer commenced a rights offering pursuant to which the issuer distributed non transferable subscription rights (the "Subscription Rights") to holders of record of it common stock as of 5:00 p.m. New York Time, on November 29, 2021. Each eligible recordholder received on Subscription Right for each share of common stock held of record by such holder as of the record date. Each Subscription Right entitled its holder, subject to certain limitations and conditions, to purchase 0.083768 shares of common stock at a subscription price of $12.75 per whole share. Holders of Subscription Rights that exercised in full such basic subscription rights were entitled, subject to certain limitations and conditions, to oversubscribe for additional shares of common stock that remained unsubscribed for the rights offering. The rights offering expired on December 16, 2021 and the Company announced the results of the offering on December 17, 2021. |
| 4 | Common | Common Stock | 2021-12-16 | A | A | 18 | $12.75 | 154.90 | I UTMA for child - H. L. Guy | — | — | (F1) On November 30, 2021, the issuer commenced a rights offering pursuant to which the issuer distributed non transferable subscription rights (the "Subscription Rights") to holders of record of it common stock as of 5:00 p.m. New York Time, on November 29, 2021. Each eligible recordholder received on Subscription Right for each share of common stock held of record by such holder as of the record date. Each Subscription Right entitled its holder, subject to certain limitations and conditions, to purchase 0.083768 shares of common stock at a subscription price of $12.75 per whole share. Holders of Subscription Rights that exercised in full such basic subscription rights were entitled, subject to certain limitations and conditions, to oversubscribe for additional shares of common stock that remained unsubscribed for the rights offering. The rights offering expired on December 16, 2021 and the Company announced the results of the offering on December 17, 2021. |
| 5 | Common | Common Stock | 2021-12-16 | M | A | 889 | $12.75 | 7,889 | I UTMA for Child - H. V. Guy | — | — | (F1) On November 30, 2021, the issuer commenced a rights offering pursuant to which the issuer distributed non transferable subscription rights (the "Subscription Rights") to holders of record of it common stock as of 5:00 p.m. New York Time, on November 29, 2021. Each eligible recordholder received on Subscription Right for each share of common stock held of record by such holder as of the record date. Each Subscription Right entitled its holder, subject to certain limitations and conditions, to purchase 0.083768 shares of common stock at a subscription price of $12.75 per whole share. Holders of Subscription Rights that exercised in full such basic subscription rights were entitled, subject to certain limitations and conditions, to oversubscribe for additional shares of common stock that remained unsubscribed for the rights offering. The rights offering expired on December 16, 2021 and the Company announced the results of the offering on December 17, 2021. |
| 6 | Common | Common Stock | 2021-12-16 | M | A | 5,837 | $12.75 | 59,935.07 | D By Modern Holdings Incorporated | — | — | (F2) Shares directly acquired by the reporting person as a result of their exercise of subscription rights and oversubscription privilege in connection with the issuer's rights offering. (F1) On November 30, 2021, the issuer commenced a rights offering pursuant to which the issuer distributed non transferable subscription rights (the "Subscription Rights") to holders of record of it common stock as of 5:00 p.m. New York Time, on November 29, 2021. Each eligible recordholder received on Subscription Right for each share of common stock held of record by such holder as of the record date. Each Subscription Right entitled its holder, subject to certain limitations and conditions, to purchase 0.083768 shares of common stock at a subscription price of $12.75 per whole share. Holders of Subscription Rights that exercised in full such basic subscription rights were entitled, subject to certain limitations and conditions, to oversubscribe for additional shares of common stock that remained unsubscribed for the rights offering. The rights offering expired on December 16, 2021 and the Company announced the results of the offering on December 17, 2021. |
| 7 | Common | Common Stock | 2021-12-16 | M | A | 11 | $12.75 | 147.90 | I Investment Advisor | — | — | (F1) On November 30, 2021, the issuer commenced a rights offering pursuant to which the issuer distributed non transferable subscription rights (the "Subscription Rights") to holders of record of it common stock as of 5:00 p.m. New York Time, on November 29, 2021. Each eligible recordholder received on Subscription Right for each share of common stock held of record by such holder as of the record date. Each Subscription Right entitled its holder, subject to certain limitations and conditions, to purchase 0.083768 shares of common stock at a subscription price of $12.75 per whole share. Holders of Subscription Rights that exercised in full such basic subscription rights were entitled, subject to certain limitations and conditions, to oversubscribe for additional shares of common stock that remained unsubscribed for the rights offering. The rights offering expired on December 16, 2021 and the Company announced the results of the offering on December 17, 2021. |
| 8 | Derivative | Subscription Rights (Right to Buy) | 2021-12-16 | M | D | 10,118 | $0.00 | 0 | I | $12.75 · 2021-11-30 to 2021-12-16 | 10,118 Common Stock | |
| 9 | Derivative | Subscription Rights (Right to Buy) | 2021-12-16 | M | D | 11 | $0.00 | 0 | I Investment Advisor | $12.75 · 2021-11-30 to 2021-12-16 | 11 Common Stock | |
| 10 | Derivative | Subscription Rights (Right to Buy) | 2021-12-16 | M | D | 18 | $0.00 | 0 | I UTMA for Child - E.K. Guy | $12.75 · 2021-11-30 to 2021-12-16 | 18 Common Stock | |
| 11 | Derivative | Common Stock | 2021-12-16 | M | D | 18 | $0.00 | 0 | I UTMA for Child - H.L. Guy | $12.75 · 2021-11-30 to 2021-12-16 | 18 Common Stock | |
| 12 | Derivative | Subscription Rights (Right to Buy) | 2021-12-16 | M | D | 889 | $0.00 | 0 | I UTMA for Child - H.V. Guy | $12.75 · 2021-11-30 to 2021-12-16 | 889 Common Stock | |
| 13 | Derivative | Subscription Rights (Right to Buy) | 2021-12-16 | M | D | 5,837 | $0.00 | 0 | D By Modern Holdings Incorporated | $12.75 · 2021-11-30 to 2021-12-16 | 5,837 Common Stock | |
| 14 | Derivative | Subscription Rights (Right to Buy) | 2021-12-16 | M | D | 11 | $0.00 | 0 | I UTMA for Child - G.E. Guy | $12.75 · 2021-11-30 to 2021-12-16 | 11 Common Stock |