KEITH M. ROSENBLOOM - 01 Jun 2022 Form 3/A - Amendment Insider Report for AMERICAN VANGUARD CORP (AVD)

Role
Director
Signature
/s/ Keith M. Rosenbloom
Issuer symbol
AVD
Transactions as of
01 Jun 2022
Transactions value $
$0
Form type
3/A - Amendment
Filing time
05 Apr 2023, 16:30:59 UTC
Date Of Original Report
19 Jul 2022
Next filing
19 Jul 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding AVD Common Stock 790K 01 Jun 2022 See footnote F1, F2, F3

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding AVD Call Option (right to buy) 01 Jun 2022 Common Stock 10K $15.00 See footnote F3
holding AVD Call Option (right to buy) 01 Jun 2022 Common Stock 10K $17.50 See footnote F3
holding AVD Put Option (obligation to buy) 01 Jun 2022 Common Stock 12.5K $15.00 See footnote F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The reporting person has executed a Power of Attorney dated June 8, 2022 permitting execution of Forms 3, 4 and 5 by two attorneys-in-fact; a copy of that Power of Attorney is filed herewith.
F2 21,898 shares were omitted from the reporting person's original Form 3.
F3 Cruiser Capital Advisors, LLC ("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.

Remarks:

Cruiser Capital may be deemed to be a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, by virtue of the fact that Mr. Rosenbloom serves on the board of directors of the issuer.