4//SEC Filing
ROSENBLOOM KEITH M 4
Accession 0000897069-23-000243
CIK 0000005981other
Filed
Apr 4, 8:00 PM ET
Accepted
Apr 5, 4:35 PM ET
Size
15.4 KB
Accession
0000897069-23-000243
Insider Transaction Report
Form 4
ROSENBLOOM KEITH M
Director
Transactions
- Exercise of In-Money
Common Stock
2022-11-18$17.50/sh+10,000$175,000→ 989,852 total(indirect: See footnote) - Other
Common Stock
2022-12-31+180,000→ 969,852 total(indirect: See footnote) - Exercise of In-Money
Call Option (right to buy)
2022-11-18−10,000→ 0 total(indirect: See footnote)Exercise: $17.50From: 2022-06-06Exp: 2022-11-18→ Common Stock (10,000 underlying) - Exercise of In-Money
Common Stock
2022-08-19$15.00/sh+10,000$150,000→ 979,852 total(indirect: See footnote) - Exercise of In-Money
Call Option (right to buy)
2022-08-19−10,000→ 0 total(indirect: See footnote)Exercise: $15.00From: 2022-06-06Exp: 2022-08-19→ Common Stock (10,000 underlying)
Holdings
- 3,218
Common Stock
Transactions
- Other
Common Stock
2022-12-31+180,000→ 969,852 total(indirect: See footnote) - Exercise of In-Money
Common Stock
2022-08-19$15.00/sh+10,000$150,000→ 979,852 total(indirect: See footnote) - Exercise of In-Money
Call Option (right to buy)
2022-08-19−10,000→ 0 total(indirect: See footnote)Exercise: $15.00From: 2022-06-06Exp: 2022-08-19→ Common Stock (10,000 underlying) - Exercise of In-Money
Call Option (right to buy)
2022-11-18−10,000→ 0 total(indirect: See footnote)Exercise: $17.50From: 2022-06-06Exp: 2022-11-18→ Common Stock (10,000 underlying) - Exercise of In-Money
Common Stock
2022-11-18$17.50/sh+10,000$175,000→ 989,852 total(indirect: See footnote)
Holdings
- 3,218
Common Stock
Footnotes (2)
- [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.
Documents
Issuer
AMERICAN VANGUARD CORP
CIK 0000005981
Entity typeother
Related Parties
1- filerCIK 0001190934
Filing Metadata
- Form type
- 4
- Filed
- Apr 4, 8:00 PM ET
- Accepted
- Apr 5, 4:35 PM ET
- Size
- 15.4 KB