Amended Statement of Changes in Beneficial Ownership (4/a)
September 17 2020 - 4:48PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
CHYMIAK KENNETH A |
2. Issuer Name and Ticker or Trading Symbol
ADDVANTAGE TECHNOLOGIES GROUP INC
[
AEY
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
15512 LARSEN STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/8/2020 |
(Street)
OVERLAND PARK, KS 66221
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
7/16/2020 |
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 | 6/8/2020 | | S | | 27518 | D | $2.3 (1)(2) | 1768482 | I (3) | By spouse's revocable trust |
Common Stock | 6/9/2020 | | S | | 8891 | D | $2.51 (4) | 1759591 | I (3) | By spouse's revocable trust |
Common Stock | 6/10/2020 | | S | | 259591 | D | $2.54 (5) | 1500000 | I (3) | By spouse's revocable trust |
Common Stock | 6/30/2020 | | S | | 24831 | D | $3.03 | 1475169 | I (3) | By spouse's revocable trust |
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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.25 to $2.41, inclusive. The reporting person undertakes to provide to AEY, any security holder of AEY, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (4) and (5) to this Form 4. |
(2) | This Amendment was filed to add shares that were omitted from the original Form 4 filing. |
(3) | The reporting person disclaims beneficial ownership of these shares. |
(4) | These shares were sold in multiple transactions at prices ranging from $2.50 to $2.55, inclusive. |
(5) | These shares were sold in multiple transactions at prices ranging from $2.50 to $2.80, inclusive. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
CHYMIAK KENNETH A 15512 LARSEN STREET OVERLAND PARK, KS 66221 |
| X |
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Signatures
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/s/ Kenneth A. Chymiak | | 9/17/2020 |
**Signature of Reporting Person | Date |
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