Alto Ingredients officer shares withheld for taxes

Alto Ingredients, Inc. reported that its CLO & Secretary, Graham M. Auste, had 32,902 shares of common stock withheld on April 1, 2026 to cover taxes due at the vesting of restricted stock.

Rhea-AI Filing Summary

Alto Ingredients, Inc. reported that its CLO & Secretary, Graham M. Auste, had 32,902 shares of common stock withheld on April 1, 2026 to cover taxes due at the vesting of restricted stock. The shares were valued at $4.79 per share for this tax-withholding transaction.

This was not an open-market sale but a tax-withholding disposition, where the company retains shares to satisfy withholding obligations. After this event, Auste directly holds 253,173 shares of Alto Ingredients common stock, indicating he continues to maintain a substantial equity position.

Insider Trade Summary

Exercise Price or Tax Liability: 32,902 shares

Exercise Price or Tax Liability 1 txn

Insider Graham Auste M

Role CLO & Secretary

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	32,902	$4.79	$158K

Holdings After Transaction: Common Stock — 253,173 shares (Direct)

Footnotes (1)

1. F1. Amount represents shares withheld upon vesting of restricted stock to cover withholding taxes.

Key Figures

Shares withheld for taxes: 32,902 shares Tax-withholding price: $4.79 per share Shares held after transaction: 253,173 shares

3 metrics

Shares withheld for taxes 32,902 shares Withheld on restricted stock vesting, April 1, 2026

Tax-withholding price $4.79 per share Value applied to withheld common stock shares

Shares held after transaction 253,173 shares Direct common stock holdings following tax-withholding disposition

Key Terms

restricted stock, withholding taxes, tax-withholding disposition

3 terms

restricted stock financial

"Amount represents shares withheld upon vesting of restricted stock"

Shares granted to an individual that carry limits on transfer or sale until certain conditions are met, such as staying with the company for a set time or hitting performance targets. Think of them as a locked gift that gradually opens; for investors they matter because they affect how many shares may enter the market later, signal management incentives and potential dilution, and reveal confidence in future company performance.

withholding taxes financial

"shares withheld upon vesting of restricted stock to cover withholding taxes"

Withholding taxes are amounts a payer or government takes out of payments — such as wages, interest, or dividends — before the recipient gets the money, functioning like a cashier keeping part of a bill to pay taxes on your behalf. For investors this matters because it reduces the cash they actually receive, affects net returns and yield calculations, and may require additional paperwork or treaty claims to recover or offset the withheld amount against final tax bills.

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 did Alto Ingredients (ALTO) disclose about Graham Auste’s shares?

Alto Ingredients disclosed that CLO & Secretary Graham M. Auste had 32,902 common shares withheld to cover taxes upon restricted stock vesting. This was a tax-withholding disposition, not an open-market sale, and he still directly holds 253,173 common shares afterward.

Was the ALTO insider transaction a sale or tax withholding?

The ALTO insider transaction was tax withholding, not a market sale. Code F and the footnote state that 32,902 shares were withheld upon restricted stock vesting to satisfy withholding taxes, meaning the company retained shares instead of Auste paying the taxes in cash.

How many Alto Ingredients shares does Graham Auste hold after this Form 4?

After this Form 4 transaction, Graham M. Auste directly holds 253,173 shares of Alto Ingredients common stock. This balance reflects his position after 32,902 shares were withheld by the company to cover tax obligations tied to restricted stock vesting.

What price was used for the Alto Ingredients tax-withholding shares?

The tax-withholding disposition used a price of $4.79 per Alto Ingredients common share. This price applies to the 32,902 shares withheld to satisfy tax liabilities when restricted stock vested, as shown in the Form 4’s transaction details.

What does transaction code F mean in the Alto Ingredients Form 4?

Transaction code F in the Alto Ingredients Form 4 indicates payment of an exercise price or tax liability by delivering securities. Here, it specifically reflects 32,902 shares withheld upon restricted stock vesting to cover withholding taxes, instead of an open-market sale.

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

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Accepted by SEC EDGAR 04/03/2026 - 01:39 PM EDT 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^*

Graham Auste M

(Last) (First) (Middle)

1300 SOUTH SECOND STREET

(Street)

PEKIN ILLINOIS 61554

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Alto Ingredients, Inc. [ ALTO ]

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

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	CLO & Secretary

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
04/01/2026

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	04/01/2026		F		32,902(1)	D	$4.79	253,173	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. Amount represents shares withheld upon vesting of restricted stock to cover withholding taxes.

	/s/ Auste M. Graham	04/03/2026
	** 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)