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