Ascent Industries VP gets 3,750-share stock award

Ascent Industries Co. vice president of finance Kenneth Wayne Herring Jr. reported a stock-based compensation event and related tax withholding.

Rhea-AI Filing Summary

Ascent Industries Co. vice president of finance Kenneth Wayne Herring Jr. reported a stock-based compensation event and related tax withholding. He received a grant of 3,750 shares of common stock tied to performance stock units that vested at 109% of target based on adjusted EBITDA. To cover tax obligations from this vesting, 1,350 shares were disposed of through tax withholding, not an open-market sale. Following these transactions, he holds 4,470.699 common shares directly.

Insider Trade Summary

2 transactions reported

Mixed 2 txns

Insider Herring Kenneth Wayne Jr

Role Insider

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	1,350	$12.85	$17K
Grant/Award	Common Stock	3,750	$12.84	$48K

Holdings After Transaction: Common Stock — 4,470.699 shares (Direct)

Footnotes (2)

1. F1. Performance stock units vested at 109% of the target award amount upon the Issuer's achievement of certain performance criteria based on adjusted EBITDA during the performance period
2. F2. Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations

Key Figures

Stock award: 3,750 shares Tax withholding shares: 1,350 shares Holding after transactions: 4,470.699 shares +3 more

6 metrics

Stock award 3,750 shares Grant/award acquisition of common stock

Tax withholding shares 1,350 shares Shares disposed to cover tax obligations

Holding after transactions 4,470.699 shares Directly held common stock post-vesting and withholding

Vesting performance 109% Performance stock units vested vs. target award based on adjusted EBITDA

Implied grant price $12.84 per share Price per share on 3,750-share grant/award transaction

Withholding price $12.85 per share Price per share on 1,350-share tax-withholding disposition

Key Terms

Performance stock units, adjusted EBITDA, tax withholding obligations, grant, award, or other acquisition, +1 more

5 terms

Performance stock units financial

"Performance stock units vested at 109% of the target award amount"

Performance stock units are a type of company award that grants employees shares of stock only if certain performance goals are met. They motivate employees to work toward specific company achievements, aligning their interests with those of shareholders. For investors, they can influence a company's future stock supply and reflect management’s confidence in reaching key targets.

adjusted EBITDA financial

"based on adjusted EBITDA during the performance period"

Adjusted EBITDA is a way companies measure how much money they make from their core operations, like running a business, by removing certain costs or income that aren’t part of regular business activities. It helps investors see how well a company is doing without distractions from unusual expenses or gains, making it easier to compare companies or track performance over time.

tax withholding obligations financial

"shares required to be sold by the Reporting Person to cover tax withholding obligations"

grant, award, or other acquisition financial

"transaction_code_description: Grant, award, or other acquisition"

tax-withholding disposition financial

"transaction_action: tax-withholding disposition"

A tax-withholding disposition is an event or transaction—such as selling or transferring securities, exercising options, or receiving compensation—that triggers a requirement to hold back part of the payment and remit it to tax authorities. It matters to investors because it reduces the cash they receive immediately and can change the timing and amount of taxable income, like a cashier taking a portion of your sale proceeds to pay taxes before you get the rest.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transactions did ACNT executive Kenneth Herring report?

Kenneth Herring reported a grant of 3,750 common shares as stock-based compensation and a related tax-withholding disposition of 1,350 shares. These were non-open-market events connected to performance stock units vesting rather than discretionary buying or selling in the market.

Was the ACNT insider Form 4 a market sale or a tax withholding?

The Form 4 shows a tax-withholding disposition of 1,350 shares, not an open-market sale. Shares were withheld to satisfy tax obligations arising from the vesting of performance stock units granted to vice president of finance Kenneth Herring.

How many Ascent Industries (ACNT) shares does Kenneth Herring hold after these transactions?

After the reported transactions, Kenneth Herring directly holds 4,470.699 shares of ACNT common stock. This total reflects the 3,750-share stock award that vested and the 1,350 shares withheld to cover associated tax liabilities from that vesting event.

What performance criteria triggered the ACNT stock award vesting?

The stock award vested when Ascent Industries achieved certain adjusted EBITDA-based performance criteria. The performance stock units vested at 109% of the target award amount, indicating performance above the original target level specified for the vesting conditions.

Did the ACNT executive actively buy or sell shares on the open market?

The filing does not show any open-market buys or sells. It reports a grant/award acquisition of 3,750 shares and a tax-withholding disposition of 1,350 shares related to vesting, which are compensation mechanics rather than discretionary trading decisions.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 03/30/2026 - 09:16 AM Learn about SEC filing dates

SEC Form 4

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

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Herring Kenneth Wayne Jr

(Last) (First) (Middle)

20 N. MARTINGALE RD

SUITE 430

(Street)

SCHAUMBURG ILLINOIS 60173

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
ASCENT INDUSTRIES CO. [ ACNT ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
	Officer (give title below)	X	Other (specify below)
			V.P., Finance

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
03/26/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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	03/26/2026		A		3,750(1)	A	$12.84	5,820.699	D
Common Stock	03/27/2026		F		1,350(2)	D	$12.85	4,470.699	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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. Performance stock units vested at 109% of the target award amount upon the Issuer's achievement of certain performance criteria based on adjusted EBITDA during the performance period

2. Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations

Remarks:

	Kenneth W. Herring, Jr.	03/30/2026
	** 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.
* Form 4: SEC 1474 (03-26)