FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
AgroFresh Solutions, Inc. [ AGFS ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 04/14/2022 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 04/14/2022 | F | 7,057 | D | $1.84 | 63,151(1) | D | |||
Common Stock | 69,556(2) | D | ||||||||
Common Stock | 54,484(3) | D | ||||||||
Common Stock | 13,735(4) | D | ||||||||
Common Stock | 12,297(5) | D | ||||||||
Common Stock | 5,492(6) | D | ||||||||
Common Stock | 29,400 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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 77,034 restricted shares in 2020 (previously incorrectly reported as 76,427), vesting in three equal annual installments beginning on April 14, 2021. 7,057 shares were forfeited effective April 14, 2022 in satisfaction of taxes payable upon vesting, and certain shares were previously forfeited in satisfaction of taxes payable upon vesting. |
2. These restricted stock units vest in three equal annual installments beginning on April 1, 2023. |
3. The Reporting Person was granted 59,978 restricted shares in 2021, vesting in three equal annual installments beginning on March 31, 2022. Certain of these shares were previously forfeited in satisfaction of taxes payable upon vesting. |
4. The Reporting Person was granted 19,100 restricted shares in 2019, vesting in three equal annual installments beginning on March 29, 2020. Certain of these shares were previously forfeited in satisfaction of taxes payable upon vesting. |
5. 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. |
6. 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. |
Remarks: |
/s/ Jason Simon, Attorney-in-Fact | 04/18/2022 | |
** 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 Number. |