0001437749-18-020457.txt : 20181113
0001437749-18-020457.hdr.sgml : 20181113
20181113092110
ACCESSION NUMBER: 0001437749-18-020457
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181109
FILED AS OF DATE: 20181113
DATE AS OF CHANGE: 20181113
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GORDON STEPHEN L
CENTRAL INDEX KEY: 0001251836
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-14105
FILM NUMBER: 181175616
MAIL ADDRESS:
STREET 1: 41 WOODLAND PARK DRIVE
CITY: TENAFLY
STATE: NJ
ZIP: 07670
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: AVALON HOLDINGS CORP
CENTRAL INDEX KEY: 0001061069
STANDARD INDUSTRIAL CLASSIFICATION: REFUSE SYSTEMS [4953]
IRS NUMBER: 341863889
STATE OF INCORPORATION: OH
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: ONE AMERICAN WAY
CITY: WARREN
STATE: OH
ZIP: 44484
BUSINESS PHONE: 3308568800
4
1
rdgdoc.xml
FORM 4
X0306
4
2018-11-09
0001061069
AVALON HOLDINGS CORP
AWX
0001251836
GORDON STEPHEN L
C/O AVALON HOLDINGS CORPORATION
ONE AMERICAN WAY
WARREN
OH
44484
1
Common Stock
2018-11-09
4
M
0
15000
2.48
A
15000
D
Common Stock
2018-11-09
4
S
0
15000
4.50
D
0
D
Stock Options (Right to Buy)
2.48
2018-11-09
4
M
0
15000
0
D
2010-03-01
2020-03-01
Class A Common Stock
15000
75000
D
The shares sold were acquired contemporaneously upon the cashless exercise of a stock option at an exercise price of $2.48 per share.
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.
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.
/s/ Stephen L. Gordon
2018-11-13