Form 4 for AVD AMERICAN VANGUARD CORP
Accepted 2023-04-05 00:00:00 ET · period of report 2022-08-19 · accession 0000897069-23-000243 · 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 | 2023-04-05 | 2022-08-19+ | AVD | Cruiser Capital Advisors, LLC | Dir | X - OptEx | $16.25 | +20.0K | 979.9K | +2% | +$325.0K |
| DI | 2023-04-05 | 2022-12-31 | AVD | Cruiser Capital Advisors, LLC | Dir | J - Other | $0.00 | +180.0K | 969.9K | +23% | $0 |
| DMI | 2023-04-05 | 2022-08-19+ | AVD | Cruiser Capital Advisors, LLC | Dir | X - OptEx | $0.00 | -20.0K | 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 | 2022-11-18 | X | A | 10,000 | $17.50 | 989,852 | I See footnote | — | — | (F2) Cruiser Capital serves as the management company or investment adviser to, and may be deemed to have shared voting and dispositive power over the shares of Common Stock held by, various investment funds (the "Cruiser Funds") and separately managed accounts (the "Cruiser SMAs," together with the Cruiser Funds, the "Cruiser Funds and SMAs") that it advises. Keith Rosenbloom ("Mr. Rosenbloom") is the Managing Member of Cruiser Capital and may be deemed to have voting and dispositive power with respect to the shares of Common Stock held by the Cruiser Funds and SMAs. Cruiser Capital and Mr. Rosenbloom each disclaim beneficial ownership of the securities held by the Cruiser Funds and SMAs, except to the extent of its or his pecuniary interest. |
| 2 | Common | Common Stock | 2022-12-31 | J | A | 180,000 | $0.00 | 969,852 | I See footnote | — | — | (F1) These shares were transferred, for no consideration, into a separately managed account over which Cruiser Capital Advisors, LLC ("Cruiser Capital") has voting and dispositive power. The unaffiliated client that purchased the shares, purchased 105,000 shares on August 9, 2022 and 75,000 shares on August 10, 2022, and did so without the involvement or knowledge of Cruiser Capital. Cruiser Capital was made aware of the transfer in February 2023, with the transfer effective as of December 31, 2022. (F2) Cruiser Capital serves as the management company or investment adviser to, and may be deemed to have shared voting and dispositive power over the shares of Common Stock held by, various investment funds (the "Cruiser Funds") and separately managed accounts (the "Cruiser SMAs," together with the Cruiser Funds, the "Cruiser Funds and SMAs") that it advises. Keith Rosenbloom ("Mr. Rosenbloom") is the Managing Member of Cruiser Capital and may be deemed to have voting and dispositive power with respect to the shares of Common Stock held by the Cruiser Funds and SMAs. Cruiser Capital and Mr. Rosenbloom each disclaim beneficial ownership of the securities held by the Cruiser Funds and SMAs, except to the extent of its or his pecuniary interest. |
| 3 | Common | Common Stock | 2022-08-19 | X | A | 10,000 | $15.00 | 979,852 | I See footnote | — | — | (F2) Cruiser Capital serves as the management company or investment adviser to, and may be deemed to have shared voting and dispositive power over the shares of Common Stock held by, various investment funds (the "Cruiser Funds") and separately managed accounts (the "Cruiser SMAs," together with the Cruiser Funds, the "Cruiser Funds and SMAs") that it advises. Keith Rosenbloom ("Mr. Rosenbloom") is the Managing Member of Cruiser Capital and may be deemed to have voting and dispositive power with respect to the shares of Common Stock held by the Cruiser Funds and SMAs. Cruiser Capital and Mr. Rosenbloom each disclaim beneficial ownership of the securities held by the Cruiser Funds and SMAs, except to the extent of its or his pecuniary interest. |
| 4 | Derivative | Call Option (right to buy) | 2022-08-19 | X | D | 10,000 | $0.00 | 0 | I See footnote | $15.00 · 2022-06-06 to 2022-08-19 | 10,000 Common Stock | (F2) Cruiser Capital serves as the management company or investment adviser to, and may be deemed to have shared voting and dispositive power over the shares of Common Stock held by, various investment funds (the "Cruiser Funds") and separately managed accounts (the "Cruiser SMAs," together with the Cruiser Funds, the "Cruiser Funds and SMAs") that it advises. Keith Rosenbloom ("Mr. Rosenbloom") is the Managing Member of Cruiser Capital and may be deemed to have voting and dispositive power with respect to the shares of Common Stock held by the Cruiser Funds and SMAs. Cruiser Capital and Mr. Rosenbloom each disclaim beneficial ownership of the securities held by the Cruiser Funds and SMAs, except to the extent of its or his pecuniary interest. |
| 5 | Derivative | Call Option (right to buy) | 2022-11-18 | X | D | 10,000 | $0.00 | 0 | I See footnote | $17.50 · 2022-06-06 to 2022-11-18 | 10,000 Common Stock | (F2) Cruiser Capital serves as the management company or investment adviser to, and may be deemed to have shared voting and dispositive power over the shares of Common Stock held by, various investment funds (the "Cruiser Funds") and separately managed accounts (the "Cruiser SMAs," together with the Cruiser Funds, the "Cruiser Funds and SMAs") that it advises. Keith Rosenbloom ("Mr. Rosenbloom") is the Managing Member of Cruiser Capital and may be deemed to have voting and dispositive power with respect to the shares of Common Stock held by the Cruiser Funds and SMAs. Cruiser Capital and Mr. Rosenbloom each disclaim beneficial ownership of the securities held by the Cruiser Funds and SMAs, except to the extent of its or his pecuniary interest. |