Statement of Changes in Beneficial Ownership (4)
March 31 2022 - 3:03PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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ERMI THOMAS |
2. Issuer Name and Ticker or Trading Symbol
AgroFresh Solutions, Inc.
[
AGFS
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP,Secretary&General Counsel |
(Last)
(First)
(Middle)
ONE WASHINGTON SQUARE, 510-530 WALNUT STREET, SUITE 1350 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/29/2022 |
(Street)
PHILADELPHIA, PA 19106
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 3/29/2022 | | F | | 1750.00 | D | $1.95 | 13735.00 (1) | D | |
Common Stock | | | | | | | | 59978.00 (2) | D | |
Common Stock | | | | | | | | 12297.00 (3) | D | |
Common Stock | | | | | | | | 69601.00 (4) | D | |
Common Stock | | | | | | | | 5492.00 (5) | D | |
Common Stock | | | | | | | | 29400.00 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The Reporting Person was granted 19,100 restricted shares in 2019, vesting in three equal annual installments beginning on March 29, 2020. 1,750 shares were forfeited effective March 29, 2022 in satisfaction of taxes payable upon vesting, and certain shares were previously forfeited in satisfaction of taxes payable upon vesting. |
(2) | These restricted shares vest in three equal annual installments beginning on March 31, 2022. |
(3) | The Reporting Person was granted 15,000 restricted shares in 2018, vesting in three equal annual installments beginning on April 23, 2019. Certain of these shares were previously forfeited in satisfaction of taxes payable upon vesting. |
(4) | The Reporting Person was granted 76,427 restricted shares in 2020, vesting in three equal annual installments beginning on April 14, 2021. Certain of these shares were previously forfeited in satisfaction of taxes payable upon vesting. |
(5) | The Reporting Person was granted 6,700 restricted shares in 2018, vesting in three equal annual installments beginning on March 29, 2019. Certain of these shares were previously forfeited in satisfaction of taxes payable upon vesting. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
ERMI THOMAS ONE WASHINGTON SQUARE 510-530 WALNUT STREET, SUITE 1350 PHILADELPHIA, PA 19106 |
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| EVP,Secretary&General Counsel |
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Signatures
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/s/ Jason Simon, Attorney-in-Fact | | 3/31/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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