Filing Details

Accession Number:
0001437749-18-020457
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-11-13 09:21:10
Reporting Period:
2018-11-09
Accepted Time:
2018-11-13 09:21:10
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1061069 Avalon Holdings Corp AWX Refuse Systems (4953) 341863889
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1251836 L Stephen Gordon C/O Avalon Holdings Corporation
One American Way
Warren OH 44484
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2018-11-09 15,000 $2.48 15,000 No 4 M Direct
Common Stock Disposition 2018-11-09 15,000 $4.50 0 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class A Common Stock Stock Options (Right to Buy) Disposition 2018-11-09 15,000 $0.00 15,000 $2.48
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
75,000 2010-03-01 2020-03-01 No 4 M Direct
Footnotes
  1. The shares sold were acquired contemporaneously upon the cashless exercise of a stock option at an exercise price of $2.48 per share.
  2. The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting person on August 29, 2018.
  3. The date indicated is the grant date and the options vest in five equal installments beginning one year from the grant date. At the end of each vesting period, the Avalon Holdings Corporation Class A common stock must reach a predetermined market price within three years before the vested options are exercisable.