Statement of Changes in Beneficial Ownership (4)
December 02 2020 - 4:54PM
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
*
Privet Fund Management LLC |
2. Issuer Name and Ticker or Trading Symbol
SYNALLOY CORP
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SYNL
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) __X__ Other (specify below) See Explanation of Responses |
(Last)
(First)
(Middle)
79 WEST PACES FERRY RD, SUITE 200B, |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/30/2020 |
(Street)
ATLANTA, GA 30305
(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)
___ Form filed by One Reporting Person
_
X
_ 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 (1) | 11/30/2020 | | P | | 12421 | A | $5.9163 (3) | 1576018 | I | By Privet Fund LP (2) |
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) | This Form 4 is filed jointly by Privet Fund LP ("Privet Fund"), Privet Fund Management LLC ("Privet Fund Management") and Ryan Levenson (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. |
(2) | Securities owned directly by Privet Fund. As the general partner and investment manager of Privet Fund, Privet Fund Management may be deemed to beneficially own the securities owned directly by Privet Fund. Mr. Levenson, as the managing member of Privet Fund Management, may be deemed to beneficially own the securities owned directly by Privet Fund. |
(3) | The reported price in Column 4 is a weighted average price. These shares of Common Stock were purchased in multiple transactions at prices ranging from $5.8700 to $5.9500, excluding commissions. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock purchased at each separate price within the range set forth in this footnote. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Privet Fund Management LLC 79 WEST PACES FERRY RD, SUITE 200B ATLANTA, GA 30305 |
| X |
| See Explanation of Responses |
Privet Fund LP 79 WEST PACES FERRY ROAD SUITE 200B ATLANTA, GA 30305 |
| X |
| See Explanation of Responses |
Levenson Ryan 79 WEST PACES FERRY ROAD SUITE 200B ATLANTA, GA 30305 |
| X |
| See Explanation of Responses |
Signatures
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Privet Fund Management LLC; By: /s/ Ryan Levenson, Managing Member | | 12/2/2020 |
**Signature of Reporting Person | Date |
Privet Fund LP; By: Privet Fund Management LLC; By: /s/ Ryan Levenson, Managing Member | | 12/2/2020 |
**Signature of Reporting Person | Date |
/s/ Ryan Levenson | | 12/2/2020 |
**Signature of Reporting Person | Date |
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