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ADN Advent Technologies Holdings Inc

3.78
-0.07 (-1.82%)
09 Nov 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Advent Technologies Holdings Inc NASDAQ:ADN NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  -0.07 -1.82% 3.78 3.65 3.78 3.8998 3.50 3.69 162,526 00:59:45

Amended Statement of Changes in Beneficial Ownership (4/a)

14/04/2023 9:44pm

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
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Coffey James F.
2. Issuer Name and Ticker or Trading Symbol

ADVENT TECHNOLOGIES HOLDINGS, INC. [ ADN ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
COO, GC
(Last)          (First)          (Middle)

500 RUTHERFORD AVENUE, SUITE 102
3. Date of Earliest Transaction (MM/DD/YYYY)

2/6/2023
(Street)

BOSTON, MA 02129
4. If Amendment, Date Original Filed (MM/DD/YYYY)

2/7/2023 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
(City)        (State)        (Zip)
Rule 10b5-1(c) Transaction Indication
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. 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 2/6/2023  S  7505 (1)D$1.9991 (2)900355 D  
Common Stock 2/7/2023  S  13823 (1)D$1.9588 (3)886532 D  
Common Stock 2/8/2023  S  9136 (1)D$1.9179 (4)877396 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. 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 Date7. 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares

Explanation of Responses:
(1) Aggregate number of shares sold on the same date at different prices. Such shares were sold by the Reporting Person solely to satisfy income tax and withholding and remittance obligations in connection with the vesting of Restricted Stock Units.
(2) Represents the weighted average sale price. The shares were sold in multiple transactions at prices ranging from $1.974963 to $2.05, inclusive. Reporting Person undertakes to provide to Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission (the "Staff"), upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
(3) Represents the weighted average sale price. The shares were sold in multiple transactions at prices ranging from $1.93497 to $1.99499, inclusive. Reporting Person undertakes to provide to Issuer, any security holder of Issuer, or the Staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
(4) Represents the weighted average sale price. The shares were sold in multiple transactions at prices ranging from $1.90655 to $1.945296, inclusive. Reporting Person undertakes to provide to Issuer, any security holder of Issuer, or the Staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.

Remarks:
This Form 4 amendment is being filed to correct inadvertent errors in the Form 4 filed by Reporting Person on February 7, 2023.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Coffey James F.
500 RUTHERFORD AVENUE
SUITE 102
BOSTON, MA 02129


COO, GC

Signatures
/s/ James F. Coffey4/14/2023
**Signature of Reporting PersonDate


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 control number.

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