ACNT / Ascent Industries Co. - Pengajuan SECLaporan Tahunan, Pernyataan Proksi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 26, 2025 Ascent Industries

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 26, 2025 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization)

16th Annual MIDWEST IDEAS Conference August 26, 2025 Ascent Industr ies Co. | Nasdaq: ACNT Forward-Looking Statements This presentation includes "forward-looking statements" within the meaning of the Private Securities Litigation Reform Act of 1995 a

acntir16thannualmidwest 16th Annual MIDWEST IDEAS Conference August 26, 2025 Ascent Industr ies Co.

Ascent Industries Reports Second Quarter 2025 Results

Exhibit 99.1 Ascent Industries Reports Second Quarter 2025 Results Schaumburg, Illinois, August 6, 2025 – Ascent Industries Co. (Nasdaq: ACNT) (“Ascent” or the “Company”), a specialty chemicals platform focused on the development, production, and distribution of tailored, performance-driven chemical solutions, is reporting its results for the second quarter ended June 30, 2025. Second Quarter 2025

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2025 ☐ TRANSITION REPORT PURSUANT TO S

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to COMMISSION FILE NUMBER 0-19687 Ascent Industries Co. (E

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 6, 2025 Ascent Industries C

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 6, 2025 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (

Ascent Industries Co. Completes Sale of American Stainless Tubing, Finalizing Transformation to Pure-Play Specialty Chemicals Platform

Exhibit 99.1 Ascent Industries Co. Completes Sale of American Stainless Tubing, Finalizing Transformation to Pure-Play Specialty Chemicals Platform Schaumburg, Ill., June 30, 2025 - Ascent Industries Co. (Nasdaq: ACNT) (“Ascent” or the “Company”) today announced the successful closing of the previously announced sale of American Stainless Tubing, LLC (“ASTI”) to First Tube, LLC, a wholly-owned sub

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Completion of Acquisition or Disposition of Assets

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 30, 2025 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (C

Limited Consent, Fifth Amendment to Credit Agreement and Omnibus Amendment to Loan Documents with BMO Bank N.A. and the other lenders party thereto as of June 30, 2025

Exhibit 10.1 LIMITED CONSENT, FIFTH AMENDMENT TO CREDIT AGREEMENT AND OMNIBUS AMENDMENT TO LOAN DOCUMENTS This LIMITED CONSENT, FIFTH AMENDMENT TO CREDIT AGREEMENT AND OMNIBUS AMENDMENT TO LOAN DOCUMENTS, dated as of [June 30], 2025 (this “Amendment”), is entered into by and among ASCENT INDUSTRIES CO. (f/k/a Synalloy Corporation), a Delaware corporation (“Ascent”), CRI TOLLING, LLC, a South Carol

Sixth Amended and Restated Master Lease Agreement dated June 30, 2025 between Registrant and Store Master Funding XII, LLC

Exhibit 10.2 SIXTH AMENDED AND RESTATED MASTER LEASE AGREEMENT THIS SIXTH AMENDED AND RESTATED MASTER LEASE AGREEMENT (this “Lease”) is made as of June 30, 2025 (the “Effective Date”), by and between STORE MASTER FUNDING XII, LLC, a Delaware limited liability company (“Lessor”), whose address is 8377 E. Hartford Drive, Suite 100, Scottsdale, Arizona 85255, and ASCENT INDUSTRIES CO., a Delaware cor

Ascent Industries' Transformation Recognized with Russell 2000 Index Inclusion

Exhibit 99.1 Ascent Industries' Transformation Recognized with Russell 2000 Index Inclusion Schaumburg, Ill, June 30, 2025 - Ascent Industries Co. (Nasdaq: ACNT) (“Ascent” or the “Company”), joined the Russell 2000® Index, effective upon the U.S. market open on June 30, 2025, as part of the 2025 Russell indexes reconstitution. The annual reconstitution of the Russell US indexes captures the 4,000

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 30, 2025 Ascent Industries Co

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 30, 2025 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (C

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 23, 2025 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (C

Asset Purchase Agreement by and among First Tube, LLC., American Stainless Tubing, LLC., and Ascent Industries Co. dated as of June 23, 2025

Exhibit 2.1 ASSET PURCHASE AGREEMENT by and among FIRST TUBE, LLC and AMERICAN STAINLESS TUBING, LLC and ASCENT INDUSTRIES CO. Dated as of June 23, 2025 Exhibit 2.1 TABLE OF CONTENTS ARTICLE I DEFINITIONS AND CONSTRUCTION 1 Section 1.1 Definitions. 1 Section 1.2 Additional Definitions. 10 Section 1.3 Certain References and Construction. 12 ARTICLE II PURCHASE AND SALE 12 Section 2.1 Purchase and S

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 25, 2025 Ascent Industries Co

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 25, 2025 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (C

Ascent Industries Co. to Divest American Stainless Tubing for $16 Million, Marking Final Step in Strategic Portfolio Realignment

Exhibit 99.1 Ascent Industries Co. to Divest American Stainless Tubing for $16 Million, Marking Final Step in Strategic Portfolio Realignment Schaumburg, Ill., June 23, 2025 - Ascent Industries Co. (Nasdaq: ACNT) (“Ascent” or the “Company”), a company focused on the production and distribution of specialty chemicals, today announced that it has entered into an Asset Purchase Agreement (the “Purcha

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 18, 2025 Ascent Industries Co

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 18, 2025 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (C

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 11, 2025 Ascent Industries Co

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 11, 2025 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (C

Letter from Moss Adams LLP to the Securities and Exchange Commission dated June 3, 2025

June 3, 2025 U.S. Securities and Exchange Commission 100 F Street N.E. Washington, D.C. 20549 Ladies and Gentlemen: We have read the statements made by the Ascent Industries Co. included under Item 4.01 of its Current Report on Form 8-K dated June 3, 2025 to be filed with the Securities and Exchange Commission. We agree with the statements concerning our Firm contained therein.. Sincerely,

Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 3, 2025 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (Co

United States Securities and Exchange Commission Washington, D. C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.__)

United States Securities and Exchange Commission Washington, D. C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin

Exhibit 1.01

Exhibit 1.01 Conflict Minerals Report Ascent Industries Co. has included this Conflict Minerals Report as an exhibit to its Form SD for 2024 as required by Rule 13p-1 under the Securities Exchange Act of 1934, as amended, and Form SD (collectively, the “Conflict Minerals Rule”). The date of filing of this Conflict Minerals Report is June 2, 2025. Unless the context indicates otherwise, the terms “

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT ASCENT INDUSTRIES CO. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of inc

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT ASCENT INDUSTRIES CO. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No.) 20 N. Martingale Rd, Suite 430, Schaumburg, Illinois 60173 (Address of principa

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 16, 2025 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (Co

Ascent Industries Reports First Quarter 2025 Results

Exhibit 99.1 Ascent Industries Reports First Quarter 2025 Results Schaumburg, Illinois, May 12, 2025 – Ascent Industries Co. (Nasdaq: ACNT) (“Ascent” or the “Company”), an industrials company focused on the production of specialty chemicals and industrial tubular products, is reporting its results for the first quarter ended March 31, 2025. First Quarter 2025 Summary1 (in millions, except per shar

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2025 ☐ TRANSITION REPORT PURSUANT TO

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to COMMISSION FILE NUMBER 0-19687 Ascent Industries Co. (

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 12, 2025 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (Co

United States Securities and Exchange Commission Washington, D. C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.__)

United States Securities and Exchange Commission Washington, D. C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin

United States Securities and Exchange Commission Washington, D. C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.__)

United States Securities and Exchange Commission Washington, D. C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 21, 2025 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (

Ascent Industries Announces Upcoming Investor Conference Schedule

Exhibit 99.1 Ascent Industries Announces Upcoming Investor Conference Schedule Schaumburg, Illinois, April 21, 2025 – Ascent Industries Co. (Nasdaq: ACNT) (“Ascent” or the “Company”), an industrial company focused on the production of specialty chemicals and industrial tubular products, will participate in several upcoming investor conferences to discuss the Company's achievements regarding its st

Planet Microcap Showcase Ascent Industr ies Co. | Nasdaq: ACNT Forward-Looking Statements This presentation includes "forward-looking statements" within the meaning of the Private Securities Litigation Reform Act of 1995 and other applicable federal

acnt-planetmicrocapprese Planet Microcap Showcase Ascent Industr ies Co. | Nasdaq: ACNT Forward-Looking Statements This presentation includes "forward-looking statements" within the meaning of the Private Securities Litigation Reform Act of 1995 and other applicable federal securities laws. All statements that are not historical facts are forward-looking statements. Forward looking statements can

See accompanying “Notes to Unaudited Pro Forma Combined Financial Information”

Exhibit 99.2 Ascent Industries. Co. Unaudited Pro Forma Combined Financial Information Introduction On March 12, 2025 Ascent Industries, Co. (“Ascent”) and its wholly-owned subsidiaries Synalloy Metals, Inc. (“Synalloy Metals”) and Bristol Metals, LLC (“BRISMET”), entered into an Asset Purchase Agreement (the “Purchase Agreement”) pursuant to which they sold substantially all of the assets, and ce

Ascent Industries Co. Announces Successful Completion of Sale of Bristol Metals, LLC

Exhibit 99.1 Ascent Industries Co. Announces Successful Completion of Sale of Bristol Metals, LLC Schaumburg, Illinois, April 7, 2025 - Ascent Industries Co. (Nasdaq: ACNT) (“Ascent” or the “Company”), an industrials company focused on the production and distribution of specialty chemicals and industrial tubular products, today announced the successful closing of the previously announced sale of s

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Completion of Acquisition or Disposition of Assets

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 4, 2025 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (C

Fifth Amended and Restated Master Lease Agreement dated April 4, 2025 between Registrant and Store Master Funding XII, LLC

STORE/ Ascent (Synalloy) Fifth Amended and Restated Master Lease 8 Properties in OH, NC, PA, SC, TN and TX File No.

Limited Consent, Fourth Amendment to Credit Agreement and Omnibus Amendment to Loan Documents with BMO Bank N.A. and the other lenders party thereto as of April 4, 2025

Exhibit 10.2 EXECUTION VERSION LIMITED CONSENT, FOURTH AMENDMENT TO CREDIT AGREEMENT AND OMNIBUS AMENDMENT TO LOAN DOCUMENTS This LIMITED CONSENT, FOURTH AMENDMENT TO CREDIT AGREEMENT AND OMNIBUS AMENDMENT TO LOAN DOCUMENTS, dated as of April 4, 2025 (this “Amendment”), is entered into by and among ASCENT INDUSTRIES CO. (f/k/a Synalloy Corporation), a Delaware corporation (“Ascent”), CRI TOLLING,

Amended and Restated Bylaws of Ascent Industries Co., effective April 4, 2025

Exhibit 3.1 AMENDED AND RESTATED BYLAWS OF Ascent Industries Co. A Delaware Corporation Exhibit 3.1 TABLE OF CONTENTS ARTICLE I OFFICES 1 Section 1. Registered Office 1 Section 2. Other Offices 1 ARTICLE II SHAREHOLDERS’ MEETINGS 1 Section 1. Place of Meetings 2 Section 2. Annual Meetings 2 Section 3. Special Meetings 2 Section 4. Notice of Meetings 2 Section 5. Quorum 2 Section 6. Voting Rights 3

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 20, 2025 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (

Sale of Bristol Metals, LLC. Transaction Overview On March 12, 2025, Ascent Industries Co. announced it had reached a definitive agreement to sell substantially all of the assets of Bristol Metals, LLC (“BRISMET”) to Ta Chen International, Inc. Trans

Sale of Bristol Metals, LLC. Transaction Overview On March 12, 2025, Ascent Industries Co. announced it had reached a definitive agreement to sell substantially all of the assets of Bristol Metals, LLC (“BRISMET”) to Ta Chen International, Inc. Transaction Price: $45M* Planned Closing Date: 3.31.2025 Investor Friendly Use of Proceeds • Earnings-accretive acquisitions within Specialty Chemicals • H

Asset Purchase Agreement by and among Bristol Pipe and Tube, Inc., Bristol Metals, LLC., Synalloy Metals, Inc. as the sole shareholder of Bristol Metals, LLC. and Ascent Industries Co. dated as of March 12, 2025

Exhibit 2.1 CERTAIN IDENTIFIED INFORMATION HAS BEEN EXCLUDED FROM THIS AGREEMENT BECAUSE IT IS BOTH (I) NOT MATERIAL TO THE REGISTRANT AND (II) THE REGISTRANT CUSTOMARILY AND ACTUALLY TREATS SUCH INFORMATION AS PRIVATE OR CONFIDENTIAL. REDACTED PORTIONS OF THIS AGREEMENT ARE MARKED BY [***]. ASSET PURCHASE AGREEMENT by and among BRISTOL PIPE AND TUBE, INC., BRISTOL METALS, LLC, SYNALLOY METALS, IN

Ascent Industries Co. Announces Sale of Bristol Metals, LLC for $45 Million

Exhibit 99.1 Ascent Industries Co. Announces Sale of Bristol Metals, LLC for $45 Million Schaumburg, Illinois, March 12, 2025 - Ascent Industries Co. (Nasdaq: ACNT) (“Ascent” or the “Company”), an industrials company focused on the production and distribution of specialty chemicals and industrial tubular products, has announced it has reached a definitive agreement to sell substantially all of the

Transition Services Agreement between Bristol Pipe and Tube, Inc. and Ascent Industries Co. dated as of March 12. 2025

Exhibit 10.1 TRANSITION SERVICES AGREEMENT This TRANSITION SERVICES AGREEMENT (this “Agreement”) is dated as of [ ], 2025 (“Effective Date”), by and among Bristol Metals, LLC, a Tennessee limited liability company (the “Company”), Synalloy Metals, Inc., a Tennessee corporation (the “Intermediate Parent”), Ascent Industries Co., a Delaware corporation (“Parent”, and together with the Company and th

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 12, 2025 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTI

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER 0-19687 Ascent Industries Co. (Exact

Ascent Industries Co. Clawback Policy

Exhibit 97.1 Clawback Recovery Policy of Ascent Industries Co. 1.The Company will comply with this Policy for all Incentive-Based Compensation that is Received by Executive Officers on or after the Effective Date that results from attainment of a Financial Reporting Measure based on or derived from financial information for any fiscal period ending on or after the Effective Date. 2.The Company wil

Ascent Industries Reports Fourth Quarter and Full Year 2024 Results Ascent Finishes the Year with Strong Earnings Growth, a Healthy Cash Balance, Debt Free, and Nearly $15 Million of Free Cash Flow Generated in 2024

Exhibit 99.1 Ascent Industries Reports Fourth Quarter and Full Year 2024 Results Ascent Finishes the Year with Strong Earnings Growth, a Healthy Cash Balance, Debt Free, and Nearly $15 Million of Free Cash Flow Generated in 2024 Schaumburg, Illinois, March 4, 2025 – Ascent Industries Co. (Nasdaq: ACNT) (“Ascent” or the “Company”), an industrials company focused on the production of specialty chemi

Insider Trading Policy

Exhibit 19.1 Ascent Industries Co. Insider Trading & Compliance Policy 1.Introduction Congress and the Securities and Exchange Commission (the “SEC”) are sensitive to the potential improprieties of corporate insiders and their affiliates trading in the securities of their companies. However, recognizing that it is not practical to prohibit trading by such persons, Congress and the SEC have created

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 4, 2025 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (C

Subsidiaries of the Registrant

Ascent Industries Co. Exhibit 21.1 Subsidiaries of the Registrant All of the Company's subsidiaries are wholly owned. All subsidiaries are included in the Company's consolidated financial statements. The subsidiaries are as follows: Synalloy Metals, Inc., a Tennessee corporation Bristol Metals, LLC, a Tennessee limited liability corporation Manufacturers Soap and Chemicals Company, a Tennessee cor

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 17, 2025 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization

Ascent Announces Board Authorization of Expanded Stock Purchase Program

Exhibit 99.1 Ascent Announces Board Authorization of Expanded Stock Purchase Program Schaumburg, Illinois, February 18, 2025 – Ascent Industries Co. (Nasdaq: ACNT) today announced that its Board of Directors authorized an expanded and extended stock repurchase program under which up to 1,000,000 shares, approximately 10% of its outstanding common stock, may be acquired in the open market over the

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 19, 2024 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization

ACNT / Ascent Industries Co. / Mink Brook Partners LP - AMENDMENT NO. 2 Passive Investment

SC 13G/A 1 p1113243sc13ga2.htm AMENDMENT NO. 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Ascent Industries Co. (Name of Issuer) Common Stock (Title of Class of Securities) 871565107 (CUSIP Number) November 13, 2024 (Date of Event which Requires Filing of this Statement) Check the appropriate box

Limited Consent, Third Amendment to Credit Agreement with BMO Bank N.A. dated as of November 6, 2024

Exhibit 10.1 THIRD AMENDMENT TO CREDIT AGREEMENT This THIRD AMENDMENT TO CREDIT AGREEMENT, dated as of November 6, 2024 (this “Amendment”), is entered into by and among ASCENT INDUSTRIES CO. (f/k/a Synalloy Corporation), a Delaware corporation (“Ascent”), CRI TOLLING, LLC, a South Carolina limited liability company (“CRI”), MANUFACTURERS SOAP & CHEMICAL COMPANY, a Tennessee corporation (“Manufactu

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 6, 2024 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization)

Fourth Amended and Restated Master Lease Agreement, dated August 28, 2024, between Registrant and Store Master Funding XII, LLC

STORE/Ascent 4th A&R Master Lease Agreement 9 Properties in OH, NC, PA, SC, TN and TX PH 3519453.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2024 ☐ TRANSITION REPORT PURSUANT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to COMMISSION FILE NUMBER 0-19687 Ascent Industries C

Ascent Industries Reports Third Quarter 2024 Results

Exhibit 99.1 Ascent Industries Reports Third Quarter 2024 Results Schaumburg, Illinois, November 12, 2024 – Ascent Industries Co. (Nasdaq: ACNT) (“Ascent” or the “Company”), an industrials company focused on the production of specialty chemicals and industrial tubular products, is reporting its results for the third quarter ended September 30, 2024. Third Quarter 2024 Summary1 (in millions, except

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 12, 2024 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization

ACNT / Ascent Industries Co. / Radoff Bradley Louis - THE SCHEDULE 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. )1 Ascent Industries Co. (Name of Issuer) Common Stock, par value $1.00 per share (Title of Class of Securities) 871565107 (CUSIP Number) Sept

ACNT / Ascent Industries Co. / Privet Fund LP - SC 13D/A Activist Investment

SC 13D/A 1 tm2424499d1sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 13)* ASCENT INDUSTRIES CO. (Name of Issuer) Common Stock, $1.00 par value per share (Title of Class of Securities) 871565107 (CUSIP Number) RYAN LEVENSON PRIVET FUND MANAGEMENT LLC 79 West Paces Ferry Road Suite 200B

Joint Filing Agreement

EX-99.1 2 ex991to13g09076acnt092024.htm JOINT FILING AGREEMENT Exhibit 99.1 Joint Filing Agreement The undersigned hereby agree that the Statement on Schedule 13G dated September 20, 2024, with respect to the Common Stock, par value $1.00 per share, of Ascent Industries Co., and any amendments thereto executed by each and any of the undersigned shall be filed on behalf of each of the undersigned p

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 27, 2024 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization)

Ascent Announces New Corporate Office

Exhibit 99.1 Ascent Announces New Corporate Office Schaumburg, Illinois, August 27, 2024 – Ascent Industries Co. (Nasdaq: ACNT) (“Ascent” or the “Company”), an industrials company focused on the production and distribution of specialty chemicals and industrial tubular products, announced today it has opened its new corporate headquarters in Schaumburg, Illinois, a suburb of Chicago. “This recent i

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2024 ☐ TRANSITION REPORT PURSUANT TO S

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to COMMISSION FILE NUMBER 0-19687 Ascent Industries Co. (E

Ascent Industries Reports Second Quarter 2024 Results

Exhibit 99.1 Ascent Industries Reports Second Quarter 2024 Results Oak Brook, Illinois, August 6, 2024 – Ascent Industries Co. (Nasdaq: ACNT) (“Ascent” or the “Company”), an industrials company focused on the production of specialty chemicals and industrial tubular products, is reporting its results for the second quarter ended June 30, 2024. Second Quarter 2024 Summary1 (in millions, except per s

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 6, 2024 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 11, 2024 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (C

ACNT / Ascent Industries Co. / Privet Fund LP - SC 13D/A Activist Investment

SC 13D/A 1 tm2416232d1sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 12)* ASCENT INDUSTRIES CO. (Name of Issuer) Common Stock, $1.00 par value per share (Title of Class of Securities) 871565107 (CUSIP Number) RYAN LEVENSON PRIVET FUND MANAGEMENT LLC 79 West Paces Ferry Road Suite 200B

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT ASCENT INDUSTRIES CO. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of inc

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT ASCENT INDUSTRIES CO. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No.) 1400 16th Street, Suite 270, Oak Brook, Illinois 60523 (Address of principal ex

Exhibit 1.01

Exhibit 1.01 Conflict Minerals Report Ascent Industries Co. has included this Conflict Minerals Report as an exhibit to its Form SD for 2023 as required by Rule 13p-1 under the Securities Exchange Act of 1934, as amended, and Form SD (collectively, the “Conflict Minerals Rule”). The date of filing of this Conflict Minerals Report is May 31, 2024. Unless the context indicates otherwise, the terms “

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 8, 2024 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (Com

Ascent Industries Reports First Quarter 2024 Results

Exhibit 99.1 Ascent Industries Reports First Quarter 2024 Results Oak Brook, Illinois, May 8, 2024 – Ascent Industries Co. (Nasdaq: ACNT) (“Ascent” or the “Company”), an industrials company focused on the production of specialty chemicals and industrial tubular products, is reporting its results for the first quarter ended March 31, 2024. First Quarter 2024 Summary1 (in millions, except per share

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2024 ☐ TRANSITION REPORT PURSUANT TO

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to COMMISSION FILE NUMBER 0-19687 Ascent Industries Co. (

United States Securities and Exchange Commission Washington, D. C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.__)

United States Securities and Exchange Commission Washington, D. C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)

United States Securities and Exchange Commission Washington, D. C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.__)

United States Securities and Exchange Commission Washington, D. C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 23, 2024 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (

Ascent Industries Co. Clawback Policy

Exhibit 97.1 Clawback Recovery Policy of Ascent Industries Co. 1.The Company will comply with this Policy for all Incentive-Based Compensation that is Received by Executive Officers on or after the Effective Date that results from attainment of a Financial Reporting Measure based on or derived from financial information for any fiscal period ending on or after the Effective Date. 2.The Company wil

Subsidiaries of the Registrant

Ascent Industries Co. Exhibit 21 Subsidiaries of the Registrant All of the Company's subsidiaries are wholly owned. All subsidiaries are included in the Company's consolidated financial statements. The subsidiaries are as follows: Synalloy Metals, Inc., a Tennessee corporation Bristol Metals, LLC, a Tennessee limited liability corporation Manufacturers Soap and Chemicals Company, a Tennessee corpo

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTI

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER 0-19687 Ascent Industries Co. (Exact

Ascent Industries Reports Fourth Quarter and Full Year 2023 Results Eliminated All Outstanding Debt with Cash Proceeds from the Sale of Specialty Pipe & Tube New Leadership Focused on Accelerating Profitable Growth and Maximizing Value

Exhibit 99.1 Ascent Industries Reports Fourth Quarter and Full Year 2023 Results Eliminated All Outstanding Debt with Cash Proceeds from the Sale of Specialty Pipe & Tube New Leadership Focused on Accelerating Profitable Growth and Maximizing Value Oak Brook, Illinois, March 28, 2024 – Ascent Industries Co. (Nasdaq: ACNT) (“Ascent” or the “Company”), an industrials company focused on the productio

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 28, 2024 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: December 31, 2023 ☐ Tr

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: December 31, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q ☐ Transition Report on

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 9, 2024 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization)

Offer Letter from the Company to J. Bryan Kitchen dated February 10, 2024

JBK: As discussed, all other terms & conditions from the Employment Agreement dated September 14, 2023 remain unchanged unless specifically modified within this amendment.

Ascent Industries Promotes New Executive Management Team Ascent Chemicals President Bryan Kitchen and Ascent Chemicals VP of FP&A Ryan Kavalauskas Tapped as Ascent’s New CEO and CFO, Respectively New Executives Poised to Continue Positioning Ascent t

Ascent Industries Promotes New Executive Management Team Ascent Chemicals President Bryan Kitchen and Ascent Chemicals VP of FP&A Ryan Kavalauskas Tapped as Ascent’s New CEO and CFO, Respectively New Executives Poised to Continue Positioning Ascent to Capitalize on Profitable Long-Term Growth Opportunities in the Specialty Chemicals Industry Oak Brook, Illinois, February 14, 2024 – Ascent Industries Co.

Offer Letter from the Company to Ryan Kavalauskas dated February 10, 2024

February 10, 2024 Ryan Kavalauskas Dear Ryan, On behalf of Ascent Industries Co. ("Ascent or "Company"), I am pleased to offer you the position of Chief Financial Officer, reporting to the CEO of Ascent. We are very excited to have you accept our offer and believe you will continue being a key member of Ascent's leadership team as we grow the company. Unless we agree otherwise in writing, you will

SYNL / Synalloy Corp. / Mink Brook Partners LP - AMENDMENT NO. 1 Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Ascent Industries Co. (Name of Issuer) Common Stock (Title of Class of Securities) 871565107 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S

Limited Consent, Second Amendment to Credit Agreement and Omnibus Amendment to Loan Documents with BMO Bank N.A. and the other lenders party thereto dated as of December 22, 2023

Exhibit 10.3 CERTAIN IDENTIFIED INFORMATION HAS BEEN EXCLUDED FROM THIS AGREEMENT BECAUSE IT IS NOT MATERIAL AND WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED. [***] INDICATES THAT INFORMATION HAS BEEN REDACTED. LIMITED CONSENT, SECOND AMENDMENT TO CREDIT AGREEMENT AND OMNIBUS AMENDMENT TO LOAN DOCUMENTS This LIMITED CONSENT, SECOND AMENDMENT TO CREDIT AGREEMENT AND O

Asset Purchase Agreement by and among Specialty Pipe & Tube Operations LLC, Specialty Pipe & Tube, Inc., and Ascent Industries Co., as the sole shareholder of Specialty Pipe & Tube, Inc. dated as of December 22, 2023

Exhibit 2.1 CERTAIN IDENTIFIED INFORMATION HAS BEEN EXCLUDED FROM THIS AGREEMENT BECAUSE IT IS NOT MATERIAL AND WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED. [***] INDICATES THAT INFORMATION HAS BEEN REDACTED. ASSET PURCHASE AGREEMENT by and among SPECIALTY PIPE & TUBE OPERATIONS LLC, SPECIALTY PIPE & TUBE, INC., AND ASCENT INDUSTRIES CO., AS THE SOLE SHAREHOLDER OF

Transition Services Agreement between Specialty Pipe & Tube Operations LLC and Ascent Industries Co. dated as of December 22, 2023

Exhibit 10.1 CERTAIN IDENTIFIED INFORMATION HAS BEEN EXCLUDED FROM THIS AGREEMENT BECAUSE IT IS NOT MATERIAL AND WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED. [***] INDICATES THAT INFORMATION HAS BEEN REDACTED. TRANSITION SERVICES AGREEMENT This TRANSITION SERVICES AGREEMENT (this “Agreement”) is dated as of December 22, 2023 (“Effective Date”), by and between Ascent

Employee Leasing Transition Services Agreement between Specialty Pipe & Tube Operations LLC and Ascent Industries Co. dated as of December 22, 2023

Exhibit 10.2 CERTAIN IDENTIFIED INFORMATION HAS BEEN EXCLUDED FROM THIS AGREEMENT BECAUSE IT IS NOT MATERIAL AND WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED. [***] INDICATES THAT INFORMATION HAS BEEN REDACTED. EMPLOYEE LEASING SERVICES AGREEMENT THIS EMPLOYEE LEASING SERVICES AGREEMENT (this “Agreement”) is made and entered into effective as of December 22, 2023 (th

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Completion of Acquisition or Disposition of Assets

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 22, 2023 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization

On December 22, 2023, Specialty Pipe & Tube, Inc. ("SPT") a Delaware corporation and wholly owned subsidiary of Ascent Industries, Co. a Delaware corporation (the "Company"),

Exhibit 99.2 Ascent Industries. Co. Unaudited Pro Forma Combined Financial Information Introduction On December 22, 2023, Specialty Pipe & Tube, Inc. ("SPT") a Delaware corporation and wholly owned subsidiary of Ascent Industries, Co. a Delaware corporation (the "Company"), entered into an Asset Purchase Agreement ("Transaction Agreement") with Specialty Pipe & Tube Operations, LLC., a Delaware li

Ascent Industries Announces Sale of Specialty Pipe & Tube for $55 Million

Exhibit 99.1 Ascent Industries Announces Sale of Specialty Pipe & Tube for $55 Million Oak Brook, Illinois, December 26, 2023 – Ascent Industries Co. (Nasdaq: ACNT) (“Ascent” or the “Company”), an industrials company focused on the production and distribution of industrial tubular products and specialty chemicals, has announced the sale of the business of Specialty Pipe & Tube (“SPT”) for approxim

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 15, 2023 Ascent Industrie

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 15, 2023 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2023 ☐ TRANSITION REPORT PURSUANT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to COMMISSION FILE NUMBER 0-19687 Ascent Industries C

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 8, 2023 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization)

Ascent Industries Reports Third Quarter 2023 Results

Exhibit 99.1 Ascent Industries Reports Third Quarter 2023 Results Oak Brook, Illinois, November 8, 2023 – Ascent Industries Co. (Nasdaq: ACNT) (“Ascent” or the “Company”), an industrials company focused on the production and distribution of industrial tubular products and specialty chemicals, is reporting its results for the third quarter ended September 30, 2023. Third Quarter 2023 Summary - Cont

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 20, 2023 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organizatio

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2023 ☐ TRANSITION REPORT PURSUANT TO S

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to COMMISSION FILE NUMBER 0-19687 Ascent Industries Co. (E

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 8, 2023 Ascent Industries C

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 8, 2023 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (

Ascent Industries Reports Second Quarter 2023 Results

Exhibit 99.1 Ascent Industries Reports Second Quarter 2023 Results Oak Brook, Illinois, August 8, 2023 – Ascent Industries Co. (Nasdaq: ACNT) (“Ascent” or the “Company”), an industrials company focused on the production and distribution of industrial tubular products and specialty chemicals, is reporting its results for the second quarter ended June 30, 2023. Second Quarter 2023 Summary - Continui

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 29, 2023 Ascent Industries Co

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 29, 2023 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (C

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 16, 2023 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (C

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 13, 2023 Ascent Industries Co

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 13, 2023 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (C

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 2, 2023 Ascent Industries Co.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 2, 2023 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (Co

Exhibit 1.01

U.S. Securities and Exchange Commission You’ve Exceeded the SEC’s Traffic Limit Your request rate has exceeded the SEC’s maximum allowable requests per second. Your access to SEC.gov will be limited for 10 minutes. Current guidelines limit each user to a total of no more than 10 requests per second, regardless of the number of machines used to submit requests. To ensure that SEC.gov remains

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT ASCENT INDUSTRIES CO. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of inc

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT ASCENT INDUSTRIES CO. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No.) 1400 16th Street, Suite 270, Oak Brook, Illinois 60523 (Address of principal ex

Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K/A AMENDMENT NO. 1 CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 22, 2023 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or

Ascent Industries Reports First Quarter 2023 Results Positioned for Improved Profitability in Back-Half of 2023 First Quarter Net Loss of $5.2 Million and Adjusted EBITDA of $(1.6) Million Includes Net Loss of $4.0 Million and Adjusted EBITDA of $(2.

Exhibit 99.1 Ascent Industries Reports First Quarter 2023 Results Positioned for Improved Profitability in Back-Half of 2023 First Quarter Net Loss of $5.2 Million and Adjusted EBITDA of $(1.6) Million Includes Net Loss of $4.0 Million and Adjusted EBITDA of $(2.8) million Attributable to its Munhall Facility1 Oak Brook, Illinois, May 9, 2023 – Ascent Industries Co. (Nasdaq: ACNT) (“Ascent” or the

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2023 ☐ TRANSITION REPORT PURSUANT TO

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to COMMISSION FILE NUMBER 0-19687 Ascent Industries Co. (

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 9, 2023 Ascent Industries Co.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 9, 2023 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (Com

United States Securities and Exchange Commission Washington, D. C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.__)

United States Securities and Exchange Commission Washington, D. C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)

United States Securities and Exchange Commission Washington, D. C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.__)

United States Securities and Exchange Commission Washington, D. C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 14, 2023 Ascent Industries C

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 14, 2023 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (

Ascent Industries Appoints Bill Steckel as Chief Financial Officer

Exhibit 99.1 Ascent Industries Appoints Bill Steckel as Chief Financial Officer Oak Brook, Illinois, April 17, 2023 – Ascent Industries Co. (Nasdaq: ACNT) (“Ascent” or the “Company”), an industrials company focused on the production and distribution of industrial tubular products and specialty chemicals, today announced the appointment of Bill Steckel as chief financial officer, effective today. H

Letter from BDO USA, LLP to the Securities and Exchange Commission dated April 7, 2023

April 7, 2023 Securities and Exchange Commission 100 F Street N.E. Washington, D.C. 20549 We have been furnished with a copy of the response to Item 4.01 of Form 8-K for the event that occurred on April 4, 2023, to be filed by our former client, Ascent Industries Co. We agree with the statements made in response to that Item insofar as they relate to our Firm. Very truly yours, /s/ BDO USA, LLP

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 4, 2023 Ascent Industries Co

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 4, 2023 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (C

SYNL / Synalloy Corp. / Mink Brook Partners LP Passive Investment

SC 13G 1 x46233sc13g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* Ascent Industries Co. (Name of Issuer) Common Stock (Title of Class of Securities) 871565107 (CUSIP Number) April 6, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu

Ascent Industries Co. Reports Fourth Quarter and Full Year 2022 Results Second Consecutive Year of Growth in Net Sales and Net Income Year-Over-Year, Reflecting Continued Improvements Across the Organization Ascent Chemicals Continues to Outperform w

Exhibit 99.1 Ascent Industries Co. Reports Fourth Quarter and Full Year 2022 Results Second Consecutive Year of Growth in Net Sales and Net Income Year-Over-Year, Reflecting Continued Improvements Across the Organization Ascent Chemicals Continues to Outperform with Year-Over-Year Growth in Net Sales, Net Income, and Adjusted EBITDA for Full Year 2022 Fourth Quarter Net Income of $0.1 Million and

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 31, 2023 Ascent Industries C

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 31, 2023 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (

Subsidiaries of the Registrant

Ascent Industries Co. Exhibit 21 Subsidiaries of the Registrant All of the Company's subsidiaries are wholly owned. All subsidiaries are included in the Company's consolidated financial statements. The subsidiaries are as follows: Synalloy Metals, Inc., a Tennessee corporation Bristol Metals, LLC, a Tennessee limited liability corporation Manufacturers Soap and Chemicals Company, a Tennessee corpo

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2022 ☐ TRANSITION REPORT PURSUANT TO SECTI

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER 0-19687 Ascent Industries Co. (Exact

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 15, 2023 Ascent Industries C

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 15, 2023 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: December 31, 2022 ☐ Tr

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: December 31, 2022 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q ☐ Transition Report on

SYNL / Synalloy Corporation / 180 DEGREE CAPITAL CORP. /NY/ - SC 13G/A Passive Investment

SC 13G/A 1 acnt-13gx2x14x23.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d –1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d–2. (Amendment No. 1)* ASCENT INDUSTRIES CO. (Name of Issuer) Common Stock (Title of Class of Securities) 871565107 (CUSIP Number) 180 D

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 20, 2022 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization

December 15, 2022

CORRESP 1 filename1.htm December 15, 2022 VIA EDGAR Mr. Eranga Dias United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549-3561 Re: Acceleration Request Ascent Industries Co. Registration Statement on Form S-3 (Registration No. 333-268780) Dear Mr. Dias: In accordance with Rule 461 under the Securities Act of 1933, as amended, Ascen

As filed with the Securities and Exchange Commission on December 13, 2022. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Ascent Industries Co. (Exact name of r

Registration Number 333- As filed with the Securities and Exchange Commission on December 13, 2022.

As filed with the Securities and Exchange Commission on December 13, 2022.

As filed with the Securities and Exchange Commission on December 13, 2022. Registration No. 333- SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ASCENT INDUSTRIES CO. (Exact Name of Registrant as Specified in Its Charter) Delaware 57-0426694 (State or Other Jurisdiction of Incorporation or Organization) (I.R.S. Employer Ide

iling Fee Table

Exhibit 107 Security Type Security Class Title Fee Calculation Rule Amount registered (1) Proposed maximum offering price per share (2) Maximum aggregate offering price (2) Fee Rate Amount of registration fee Equity Common Stock 457(c) and 457(h) 750,000 shares $ 11.

iling Fee Table

Exhibit 107 Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered (1) (2) (3) Proposed Maximum Offering Price Per Unit (3) Maximum Aggregate Offering Price (3) (4) (5) Fee Rate Amount of Registration Fee (3) (5) Carry Forward Form Type Carry Forward File Number Carry Forward Initial effective date Filing Fee Previously Paid In Connection with Unsold Securities to be Carried Forward (5) Newly Registered Securities Fees to Be Paid Equity Common Stock Rule 457(o) Equity Preferred Stock Rule 457(o) Debt Debt Securities (6) Rule 457(o) Other Warrants Rule 457(o) Other Purchase Contracts Rule 457(o) Other Rights Rule 457(o) Other Units (7) Rule 457(o) Unallocated (Universal) Shelf Rule 457(o) $ 100,000,000.

As filed with the Securities and Exchange Commission on December 13, 2022

POS AM 1 posams-3333x230447.htm POS AM As filed with the Securities and Exchange Commission on December 13, 2022 Registration No. 333-230447 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ASCENT INDUSTRIES CO. (Exact name of registrant as specified in its charter) Delaware (S

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2022 ☐ TRANSITION REPORT PURSUANT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to COMMISSION FILE NUMBER 0-19687 Ascent Industries C

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 8, 2022 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization)

Ascent Industries Co. Reports Third Quarter 2022 Results Sixth Consecutive Quarter of Year-Over-Year Net Sales Growth

Exhibit 99.1 Ascent Industries Co. Reports Third Quarter 2022 Results Sixth Consecutive Quarter of Year-Over-Year Net Sales Growth Oak Brook, Illinois, November 08, 2022 ? Ascent Industries Co. (Nasdaq: ACNT) (?Ascent? or the ?Company?), an industrials company focused on the production and distribution of industrial tubular products and specialty chemicals, is reporting its results for the third q

✓ ✓ ✓ ✓ ✓ ✓ ✓ ↘ ↘ ↘ ↘ ↘ ↘ ✓ ✓ ✓ ✓ ✓ ↗ ↗ ↗ ↗ ↗ ✓ ✓ ✓ ▪ ▪ ▪ ▪ − − ▪ ▪ ✓ ✓ ✓ ✓ ✓ ✓ ▪ ▪ ▪ ▪ − − ▪ − − ▪ ✓ ✓ ✓ ✓ ✓ ▪ ▪ ▪ ▪ ▪ ▪ ▪ ✓ ✓ ✓ ✓ ✓ ▪ − ▪ ▪ ▪ − ▪ ✓ ✓ ✓ − ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ▪ − ▪ ▪ ▪ Ascent is committed to diversity, inclusion and re

? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? Ascent is committed to diversity, inclusion and respect.

Synalloy Corporation Announces Rebrand to Ascent Industries Co. Rebranding Better Aligns Company’s Go-to-Market Strategy with its Upward Growth Trajectory and Reinvigorated Corporate Mission Company to Ring the Nasdaq Closing Bell in Celebration of t

Exhibit 99.1 Synalloy Corporation Announces Rebrand to Ascent Industries Co. Rebranding Better Aligns Company?s Go-to-Market Strategy with its Upward Growth Trajectory and Reinvigorated Corporate Mission Company to Ring the Nasdaq Closing Bell in Celebration of the Rebrand on August 15, 2022 Oak Brook, Illinois, August 4, 2022 ? Synalloy Corporation (Nasdaq: SYNL) (?Synalloy? or the ?Company?), an

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 10, 2022 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization)

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 4, 2022 Ascent Industries Co. (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (

Amended and Restated Bylaws of Registrant

Exhibit 3.2 AMENDED AND RESTATED BYLAWS OF Ascent Industries Co. A Delaware Corporation TABLE OF CONTENTS Page ARTICLE I OFFICES 1 Section 1. Registered Office 1 Section 2. Other Offices 1 ARTICLE II SHAREHOLDERS? MEETINGS 1 Section 1. Place of Meetings 2 Section 2. Annual Meetings 2 Section 3. Special Meetings 2 Section 4. Notice of Meetings 2 Section 5. Quorum 2 Section 6. Voting Rights 3 Sectio

Amended and Restated Certificate of Incorporation of Registrant

Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE CERTIFICATE OF INCORPORATION OF SYNALLOY CORPORATION Synalloy Corporation, a company organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the ?DGCL?), does hereby certify: 1.The name of the Corporation is Synalloy Corporation. 2.The Certificate of Incorporation of Synalloy Corporation. is amended by deleting

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2022 ☐ TRANSITION REPORT PURSUANT TO S

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to COMMISSION FILE NUMBER 0-19687 Synalloy Corporation (Ex

Synalloy Reports Strong Second Quarter 2022 Results Fifth Consecutive Quarter of Year-Over-Year Growth in Net Sales, Net Income, and Adjusted EBITDA Upcoming Rebrand to Ascent Industries Co. Better Aligns Go-to-Market Strategy with Long-Term Strategi

Exhibit 99.1 Synalloy Reports Strong Second Quarter 2022 Results Fifth Consecutive Quarter of Year-Over-Year Growth in Net Sales, Net Income, and Adjusted EBITDA Upcoming Rebrand to Ascent Industries Co. Better Aligns Go-to-Market Strategy with Long-Term Strategic Vision Oak Brook, Illinois, August 09, 2022 ? Synalloy Corporation (Nasdaq: SYNL) (?Synalloy? or the ?Company?), an industrials company

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 9, 2022 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (C

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 6, 2022 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (Com

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 2, 2022 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (Com

Investor Presentation J u n e 2 0 2 2 Exhibit 99.1 Forward Looking Statement Safe Harbor and Non-GAAP Information Forward-Looking Statements This presentation includes "forward-looking statements" within the meaning of the Private Securities Litigati

Investor Presentation J u n e 2 0 2 2 Exhibit 99.1 Forward Looking Statement Safe Harbor and Non-GAAP Information Forward-Looking Statements This presentation includes "forward-looking statements" within the meaning of the Private Securities Litigation Reform Act of 1995 and other applicable federal securities laws. All statements that are not historical facts are forward-looking statements. Forwa

Exhibit 1.01

Exhibit 1.01 Conflict Minerals Report Synalloy Corporation has included this Conflict Minerals Report as an exhibit to its Form SD for 2021 as required by Rule 13p-1 under the Securities Exchange Act of 1934, as amended, and Form SD (collectively, the ?Conflict Minerals Rule?). The date of filing of this Conflict Minerals Report is May 31, 2022. Unless the context indicates otherwise, the terms ?w

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT SYNALLOY CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation) (Co

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT SYNALLOY CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No.) 1400 16th Street, Suite 270, Oak Brook, Illinois 60523 (Address of principal executive offices

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2022 ☐ TRANSITION REPORT PURSUANT TO

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to COMMISSION FILE NUMBER 0-19687 Synalloy Corporation (E

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 10, 2022 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (Com

Synalloy Reports Record First Quarter 2022 Results 2022 Starts Strong with Second Consecutive Quarter of Record Results for Net Sales, Net Income and Adjusted EBITDA Poised to Continue Executing on Strategic Priorities Throughout the Year

Exhibit 99.1 Synalloy Reports Record First Quarter 2022 Results 2022 Starts Strong with Second Consecutive Quarter of Record Results for Net Sales, Net Income and Adjusted EBITDA Poised to Continue Executing on Strategic Priorities Throughout the Year Oak Brook, Illinois, May 10, 2022 - Synalloy Corporation (Nasdaq: SYNL) (?Synalloy? or the ?Company?), an industrials company focused on the product

Ascent Industries Co. 2022 Omnibus Equity Incentive Plan (incorporated herein by reference to Exhibit A to the Definitive Proxy Statement on Schedule 14A filed April 27, 2022).

DEF 14A 1 synlproxy-2022xdef14a.htm DEF 14A United States Securities and Exchange Commission Washington, D. C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Co

United States Securities and Exchange Commission Washington, D. C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.__)

United States Securities and Exchange Commission Washington, D. C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 22, 2022 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (C

Description of Common Stock

Exhibit 4.2 DESCRIPTION OF THE SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following descriptions of the capital stock of Synalloy Corporation (the ?Company?, ?we?, ?us? or ?our?), certain provisions of our Amended and Restated Certificate of Incorporation (our ?Certificate of Incorporation?), our Amended and Restated By-Laws (our ?By-Laws?), and certain

Amended and Restated Certificate of Incorporation of Registrant

EX-3.1 2 arcoi.htm EX-3.1 RESTATED CERTIFICATE OF INCORPORATION OF SYNALLOY CORPORATION (DELAWARE) (Originally Incorporated on March 15, 1988) We, James G. Lane, Jr., president and Cheryl C. Carter, secretary of Synalloy Corporation (Delaware) do hereby certify as follows: That the amendment changing the corporation's name to "Synalloy Corporation" and restated certificate of incorporation have be

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2021 ☐ TRANSITION REPORT PURSUANT TO SECTI

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2021 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER 0-19687 SYNALLOY CORPORATION (Exact

Subsidiaries of the Registrant

Synalloy Corporation Exhibit 21 Subsidiaries of the Registrant All of the Company's subsidiaries are wholly owned.

Synalloy Reports Fourth Quarter and Full Year 2021 Results Finishes 2021 with Third Consecutive Quarter of Year-Over-Year Growth in Net Sales, Net Income and Adjusted EBITDA Full Year 2021 Results Achieved Highest Net Sales, Net Income and Adjusted E

Exhibit 99.1 Synalloy Reports Fourth Quarter and Full Year 2021 Results Finishes 2021 with Third Consecutive Quarter of Year-Over-Year Growth in Net Sales, Net Income and Adjusted EBITDA Full Year 2021 Results Achieved Highest Net Sales, Net Income and Adjusted EBITDA in Synalloy?s History Strongly Positioned to Further Capitalize on Profitable Growth Opportunities in 2022 Richmond, Virginia, Marc

Confidential Separation and Release Agreement, dated as of August 27, 2021, between Registrant and Sally M. Cunningham

EX-10.12 4 cunninghamseveranceandrele.htm EX-10.12 Exhibit 10.12 SEPARATION AND RELEASE AGREEMENT As a result of the separation of employment between the individual listed on the last page of this Separation and Release Agreement (“You” or “Employee”) and Synalloy Corporation (including its parents, divisions, affiliates, holding companies, owners, subsidiaries, predecessors, successors, employees

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 29, 2022 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (C

Amended and Restated Bylaws of Registrant, incorporated by reference to Registrant's Form 8-K filed March 21, 2022

Exhibit 3.1 AMENDED AND RESTATED BYLAWS OF SYNALLOY CORPORATION A Delaware Corporation US 8716367 TABLE OF CONTENTS Page Article I Offices 1 Section 1. Registered Office 1 Section 2. Other Offices 1 Article II Shareholders? Meetings 1 Section 1. Place of Meetings 1 Section 2. Annual Meetings 2 Section 3. Special Meetings 2 Section 4. Notice of Meetings 2 Section 5. Quorum 2 Section 6. Voting Right

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 18, 2022 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (C

Synalloy Solidifies Leadership Structure and Appoints New Independent Director to the Board Ben Rosenzweig Named as Executive Chairman; Chris Hutter Confirmed as President and CEO Aldo Mazzaferro Appointed as Independent Director, Brings Over Three D

Exhibit 99.1 Synalloy Solidifies Leadership Structure and Appoints New Independent Director to the Board Ben Rosenzweig Named as Executive Chairman; Chris Hutter Confirmed as President and CEO Aldo Mazzaferro Appointed as Independent Director, Brings Over Three Decades of Steel and Metals Industry Expertise Richmond, Virginia, March 21, 2022 ? Synalloy Corporation (Nasdaq: SYNL) (?Synalloy? or the

SYNL / Synalloy Corporation / 180 DEGREE CAPITAL CORP. /NY/ - SC 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d ?1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d?2. (Amendment No. )* SYNALLOY CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 871565107 (CUSIP Number) 180 Degree Capital Corp. 7 N. Willow Street, Sui

DanChem Technologies, Inc. Unaudited Financial Report September 30, 2021 Exhibit 99.2 Contents Financial statements Balance sheet 1 Statement of income 2 Statement of changes in stockholders’ equity 3 Statement of cash flows 4 Notes to financial stat

DanChem Technologies, Inc. Unaudited Financial Report September 30, 2021 Exhibit 99.2 Contents Financial statements Balance sheet 1 Statement of income 2 Statement of changes in stockholders? equity 3 Statement of cash flows 4 Notes to financial statements 5-11 1 DanChem Technologies, Inc. Balance Sheet September 30, 2021 (Unaudited) Assets Current assets: Cash 2,750 $ Trade accounts receivable, l

DanChem Technologies, Inc. Financial Report December 31, 2020 Exhibit 99.1 Contents Independent auditor’s report 1 Financial statements Balance sheet 2 Statement of income 3 Statement of changes in stockholders’ equity 4 Statement of cash flows 5 Not

DanChem Technologies, Inc. Financial Report December 31, 2020 Exhibit 99.1 Contents Independent auditor?s report 1 Financial statements Balance sheet 2 Statement of income 3 Statement of changes in stockholders? equity 4 Statement of cash flows 5 Notes to financial statements 6-12 1 Independent Auditor?s Report Board of Directors DanChem Technologies, Inc. Report on the Financial Statements We hav

Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 22, 2021 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporati

Adjusted DanChem (Note 2)

Exhibit 99.3 SYNALLOY CORPORATION Unaudited Pro Forma Combined Financial Information Introduction The following tables present unaudited pro forma combined financial information about the condensed consolidated balance sheet and statements of operations and comprehensive income (loss) of Synalloy Corporation ("Synalloy" or the "Company"), after giving effect to the acquisition (the "Acquisition")

SYNL / Synalloy Corporation / Privet Fund LP Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 11)1 Synalloy Corporation (Name of Issuer) Common Stock, $1.00 par value per share (Title of Class of Securities) 871565107 (CUSIP Number) Ryan Levenson Pr

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 17, 2021 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization)

Synalloy Announces Closing of Highly Successful $10 Million Rights Offering – Rights Offering Was Fully Subscribed –

EX-99.1 2 synl-rightsofferingprx12x1.htm EX-99.1 Exhibit 99.1 Synalloy Announces Closing of Highly Successful $10 Million Rights Offering – Rights Offering Was Fully Subscribed – Richmond, Virginia, December 17, 2021 – Synalloy Corporation (Nasdaq: SYNL) (“Synalloy” or the “Company”), an industrials company focused on the production and distribution of piping, tubing and specialty chemicals, today

FORM OF LETTER TO STOCKHOLDERS WHO ARE RECORD HOLDERS SYNALLOY CORPORATION Subscription Rights to Purchase Shares of Common Stock Offered Pursuant to Subscription Rights Distributed to Stockholders of Synalloy Corporation

Exhibit 99.2 FORM OF LETTER TO STOCKHOLDERS WHO ARE RECORD HOLDERS SYNALLOY CORPORATION Subscription Rights to Purchase Shares of Common Stock Offered Pursuant to Subscription Rights Distributed to Stockholders of Synalloy Corporation November 30, 2021 Dear Stockholder: Enclosed are materials relating to a rights offering (the ?Rights Offering?) by Synalloy Corporation, a Delaware corporation (?we

FORM OF LETTER TO CLIENTS OF BROKERS AND OTHER NOMINEE HOLDERS SYNALLOY CORPORATION Subscription Rights to Purchase Shares of Common Stock Offered Pursuant to Subscription Rights Distributed to Stockholders of Synalloy Corporation

Exhibit 99.4 FORM OF LETTER TO CLIENTS OF BROKERS AND OTHER NOMINEE HOLDERS SYNALLOY CORPORATION Subscription Rights to Purchase Shares of Common Stock Offered Pursuant to Subscription Rights Distributed to Stockholders of Synalloy Corporation November 30, 2021 To Our Clients: Enclosed for your consideration are a prospectus supplement dated November 30, 2021 (the ?Prospectus Supplement? and toget

SYNALLOY CORPORATION SHARES OF COMMON STOCK ISSUABLE UPON EXERCISE OF SUBSCRIPTION RIGHTS NOMINEE HOLDER CERTIFICATION

Exhibit 99.5 THE TERMS AND CONDITIONS OF THE RIGHTS OFFERING ARE SET FORTH IN THE COMPANY?S PROSPECTUS SUPPLEMENT DATED NOVEMBER 30, 2021 (THE ?PROSPECTUS SUPPLEMENT?) AND ARE INCORPORATED HEREIN BY REFERENCE. COPIES OF THE PROSPECTUS AND PROSPECTUS SUPPLEMENT ARE AVAILABLE UPON REQUEST FROM AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC, THE SUBSCRIPTION AGENT, BY CALLING (877) 248-6417. SYNALLOY C

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 30, 2021 SYNALLOY CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization

FORM OF LETTER TO BROKERS AND OTHER NOMINEE HOLDERS SYNALLOY CORPORATION Subscription Rights to Purchase Shares of Common Stock Offered Pursuant to Subscription Rights Distributed to Stockholders of Synalloy Corporation

EX-99.3 6 ny20001507x2ex99-3.htm EXHIBIT 99.3 Exhibit 99.3 FORM OF LETTER TO BROKERS AND OTHER NOMINEE HOLDERS SYNALLOY CORPORATION Subscription Rights to Purchase Shares of Common Stock Offered Pursuant to Subscription Rights Distributed to Stockholders of Synalloy Corporation November 30, 2021 To Securities Dealers, Commercial Banks, Trust Companies and Other Nominees: This letter is being distr

SYNALLOY CORPORATION BENEFICIAL OWNER ELECTION FORM

Exhibit 99.6 THE TERMS AND CONDITIONS OF THE RIGHTS OFFERING ARE SET FORTH IN THE COMPANY?S PROSPECTUS SUPPLEMENT DATED NOVEMBER 30, 2021 (THE ?PROSPECTUS SUPPLEMENT?) AND ARE INCORPORATED HEREIN BY REFERENCE. COPIES OF THE PROSPECTUS AND PROSPECTUS SUPPLEMENT ARE AVAILABLE UPON REQUEST FROM AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC, THE SUBSCRIPTION AGENT, BY CALLING (877) 248-6417. SYNALLOY C

EX-4.1

Exhibit 4.1 ? ?

Synalloy Corporation Subscription Rights to Purchase Up to 785,103 Shares of Common Stock at $12.75 per Share

424B5 1 ny20001507x1424b5.htm 424B5 TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(5) Registration No. 333-230447 PROSPECTUS SUPPLEMENT (To prospectus dated April 19, 2019)   Synalloy Corporation Subscription Rights to Purchase Up to 785,103 Shares of Common Stock at $12.75 per Share We are distributing at no charge to the holders of our common stock as of 5:00 p.m., Eastern Time, on November 29,

Synalloy Announces Commencement of Rights Offering

EX-99.7 10 ny20001507x2ex99-7.htm EXHIBIT 99.7 Exhibit 99.7 Synalloy Announces Commencement of Rights Offering Richmond, Virginia, November 30, 2021 – Synalloy Corporation (Nasdaq: SYNL) (“Synalloy” or the “Company”), an industrials company focused on the production and distribution of piping, tubing and specialty chemicals, today announced that it has commenced its previously-announced rights off

FORM OF INSTRUCTIONS AS TO USE OF SYNALLOY CORPORATION NON-TRANSFERABLE SUBSCRIPTION RIGHTS CERTIFICATES PLEASE CONSULT THE SUBSCRIPTION AND INFORMATION AGENT, YOUR BANK OR BROKER FOR ANY QUESTIONS

Exhibit 99.1 THE TERMS AND CONDITIONS OF THE RIGHTS OFFERING ARE SET FORTH IN THE COMPANY?S PROSPECTUS SUPPLEMENT DATED NOVEMBER 30, 2021 (THE ?PROSPECTUS SUPPLEMENT?) AND ARE INCORPORATED HEREIN BY REFERENCE. COPIES OF THE PROSPECTUS AND PROSPECTUS SUPPLEMENT ARE AVAILABLE UPON REQUEST FROM AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC, THE SUBSCRIPTION AGENT, BY CALLING (877) 248-6417. FORM OF IN

Synalloy Announces $10 Million Rights Offering – Rights Offering Will Be Available To All Shareholders Of Record On November 29, 2021 – – Oversubscription Privilege Available To Shareholders Who Fully Subscribe – – Insiders And Largest Shareholders I

Exhibit 99.2 Synalloy Announces $10 Million Rights Offering ? Rights Offering Will Be Available To All Shareholders Of Record On November 29, 2021 ? ? Oversubscription Privilege Available To Shareholders Who Fully Subscribe ? ? Insiders And Largest Shareholders Intend To Fully Subscribe And Exercise Oversubscription Privileges ? Richmond, Virginia, November 16, 2021 ? Synalloy Corporation (Nasdaq:

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 12, 2021 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization)

Synalloy Appoints John Zuppo as Executive Vice President of Synalloy Chemicals – Former DanChem CEO with Over 20 Years of Industry Experience Will Lead the Company’s Chemicals Segment to Accelerate Growth –

Exhibit 99.1 Synalloy Appoints John Zuppo as Executive Vice President of Synalloy Chemicals ? Former DanChem CEO with Over 20 Years of Industry Experience Will Lead the Company?s Chemicals Segment to Accelerate Growth ? Richmond, Virginia, November 15, 2021 ? Synalloy Corporation (Nasdaq: SYNL) (?Synalloy? or the ?Company?), an industrials company focused on the production and distribution of pipi

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 9, 2021 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2021 ☐ TRANSITION REPORT PURSUANT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to COMMISSION FILE NUMBER 0-19687 Synalloy Corporatio

Joinder Agreement, dated November 5, 2021, between Registrant and BMO Harris Bank N.A.

Exhibit 10.1 OMNIBUS JOINDER TO LOAN DOCUMENTS This OMNIBUS JOINDER TO LOAN DOCUMENTS (this ?Joinder?), dated as of November 5, 2021, is entered into by and among SYNALLOY CORPORATION, a Delaware corporation (?Synalloy?), CRI TOLLING, LLC, a South Carolina limited liability company (?CRI?), SYNALLOY FABRICATION, LLC, a South Carolina limited liability company (?Synalloy Fabrication?), MANUFACTURER

Synalloy Reports Strong Third Quarter 2021 Results - Sequential and Year-Over-Year Growth in Net Sales, Gross Profit, Net Income and Adjusted EBITDA -

Exhibit 99.1 Synalloy Reports Strong Third Quarter 2021 Results - Sequential and Year-Over-Year Growth in Net Sales, Gross Profit, Net Income and Adjusted EBITDA - Richmond, Virginia, November 9, 2021 - Synalloy Corporation (Nasdaq: SYNL) (?Synalloy? or the ?Company?), an industrials company focused on the production and distribution of piping, tubing and specialty chemicals, is reporting its resu

Synalloy Acquires Leading Specialty Chemicals Contract Manufacturer DanChem – Acquisition Enhances Chemicals Management Team, Accelerates Product Development Capabilities, and Provides Entrance into New End-Markets and Applications – – Synalloy Chemi

Exhibit 99.1 Synalloy Acquires Leading Specialty Chemicals Contract Manufacturer DanChem ? Acquisition Enhances Chemicals Management Team, Accelerates Product Development Capabilities, and Provides Entrance into New End-Markets and Applications ? ? Synalloy Chemicals is One of the Largest Specialty Chemical Contract Manufacturers in the U.S. with Plans to Significantly Scale its Platform and Accel

Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 22, 2021 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization)

Stock Purchase Agreement, dated as of October 22, 2021, by and between the Company and DanChem Holdings, LLC.†

Exhibit 2.1 STOCK PURCHASE AGREEMENT Between DanChem Holdings, LLC and Synalloy Corporation dated as of October 22, 2021 TABLE OF CONTENTS ARTICLE I. Definitions 1 ARTICLE II. Purchase and Sale 14 Section 2.01 Purchase and Sale 14 Section 2.02 Purchase Price; Closing Indebtedness; Escrow Amount 14 Section 2.03 Purchase Price Adjustment 15 Section 2.04 Applicable Accounting Principles 18 Section 2.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 30, 2021 (August 24, 2021) Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation

Offer Letter between Synalloy Corporation and Aaron Tam, dated August 1, 2021

EX-10.1 2 synl-aarontamofferletter.htm EX-10.1 Exhibit 10.1 August 1, 2021 Aaron Tam 2932 Central Avenue Wilmette, IL 60091 Dear Aaron: On behalf of Synalloy Corp. (“Synalloy” or “SYNL”) I am pleased to offer you the position of Chief Financial Officer (“CFO”) of Synalloy. This position reports directly to me. We are very excited to have you accept our offer and believe you will be a key member of

Synalloy Appoints Aaron Tam as Chief Financial Officer

EX-99.1 3 synl-aarontamcfox8x30x21xpr.htm EX-99.1 Exhibit 99.1 Synalloy Appoints Aaron Tam as Chief Financial Officer Richmond, Virginia, August 30, 2021 – Synalloy Corporation (Nasdaq: SYNL) (“Synalloy” or the “Company”), an industrials company focused on the production and distribution of piping, tubing and specialty chemicals, has appointed Aaron Tam as chief financial officer, effective today.

Synalloy Reports Strong Second Quarter 2021 Results - Sequential and Year-Over-Year Growth in Net Sales, Gross Profit, Net Income and Adjusted EBITDA -

Exhibit 99.1 Synalloy Reports Strong Second Quarter 2021 Results - Sequential and Year-Over-Year Growth in Net Sales, Gross Profit, Net Income and Adjusted EBITDA - Richmond, Virginia, August 9, 2021 - Synalloy Corporation (Nasdaq: SYNL) (?Synalloy? or the ?Company?), an industrials company focused on the production and distribution of piping, tubing and specialty chemicals, is reporting its resul

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 9, 2021 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (C

Amended and Restated Synalloy Corporation 2015 Stock Awards Plan

EX-10.2 3 ex102-2015arstockawardplan.htm EX-10.2 Exhibit 10.2 SYNALLOY CORPORATION Amended and Restated 2015 Stock Awards Plan 1.Purpose. This 2015 Stock Awards Plan (the “Plan”) is intended to provide key executive employees of Synalloy Corporation or any of its Subsidiaries (together, the “Company”) with the opportunity to participate in the Company’s future prosperity and growth by awarding the

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2021 ☐ TRANSITION REPORT PURSUANT TO S

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to COMMISSION FILE NUMBER 0-19687 Synalloy Corporation (Ex

Confidential Separation and Release Agreement, dated as of May 14, 2021, between Registrant and J. Greg Gibson

Exhibit 10.1 SEPARATION AGREEMENT AND GENERAL RELEASE This Separation Agreement and General Release (?the Agreement?) is entered into by and between SYNALLOY CORPORATION and all of its parents, subsidiaries, affiliates, officers, directors, managers, employees, insurers, agents, servants or assigns (referred to collectively as ?Company?) and JAMES G. GIBSON (?Employee?) (Company and Employee are c

Synalloy Appoints Doug Tackett as Chief Legal Officer

Exhibit 99.1 Synalloy Appoints Doug Tackett as Chief Legal Officer Richmond, Virginia, July 6, 2021 ? Synalloy Corporation (Nasdaq: SYNL) (?Synalloy? or the ?Company?), an industrials company focused on the production and distribution of piping, tubing and specialty chemicals, has appointed Doug Tackett as chief legal officer. In this role, Tackett will serve as in-house legal advisor to the Compa

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 6, 2021 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (Com

Exhibit 1.01

Exhibit 1.01 Conflict Minerals Report of Synalloy Corporation in Accordance with Rule 13p-1 under the Securities Exchange Act of 1934 This is the Conflict Minerals Report of Synalloy Corporation (herein referred to as ?Synalloy? the ?Company,? ?we,? ?us,? or ?our?) for calendar year 2020 in accordance with Rule 13p-1 (?Rule 13p-1?) under the Securities Exchange Act of 1934 (the ?1934 Act?). Please

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT SYNALLOY CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation) (Co

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT SYNALLOY CORPORATION (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No.) 4510 Cox Road, Suite 201, Richmond, Virginia 23060 (Address of principal executive offices) (Z

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 19, 2021 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (Com

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Termination of a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 17, 2021 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (Com

Synalloy Appoints David Kuzy as Executive Vice President of Synalloy Chemicals - Chemicals Industry Executive Brings 30+ Years of Experience in Implementing Strategic Growth Initiatives and Employee-Focused Cultural Transformations -

Exhibit 99.1 Synalloy Appoints David Kuzy as Executive Vice President of Synalloy Chemicals - Chemicals Industry Executive Brings 30+ Years of Experience in Implementing Strategic Growth Initiatives and Employee-Focused Cultural Transformations - Richmond, Virginia, May 17, 2021 ? Synalloy Corporation (Nasdaq: SYNL) (?Synalloy? or the ?Company?), an industrials company focused on the production an

Quarterly Report - 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to COMMISSION FILE NUMBER 0-19687 Synalloy Corporation (E

Synalloy Reports First Quarter 2021 Results

Exhibit 99.1 Synalloy Reports First Quarter 2021 Results Richmond, Virginia, May 10, 2021 - Synalloy Corporation (Nasdaq: SYNL) (?Synalloy? or the ?Company?), an industrials company focused on the production and distribution of piping, tubing and specialty chemicals, is reporting its results for the first quarter ended March 31, 2021. First Quarter 2021 Summary (in millions, except per share and m

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 10, 2021 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (Com

- DEF 14A

United States Securities and Exchange Commission Washington, D. C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)

Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 12, 2021 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (C

Letter from KPMG LLP to the Securities and Exchange Commission dated March 18, 2021

March 18, 2021 Securities and Exchange Commission Washington, D.C. 20549 Ladies and Gentlemen: We were previously principal accountants for Synalloy Corporation and, under the date of March 9, 2021, we reported on the consolidated financial statements of Synalloy Corporation as of and for the years ended December 31, 2020 and 2019. On March 12, 2021, we were dismissed. We have read Synalloy Corpor

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 9, 2021 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (Co

Agreement between Registrant’s Specialty Pipe & Tube, Inc. subsidiary and the United Steel, Paper and Forestry, Rubber, Manufacturing, Energy, Allied Industrial and Service Workers International Union Local 1375-18, dated July 1, 2020

Exhibit 10.9 AGREEMENT BETWEEN SPECIALTY PIPE & TUBE, INC. And UNITED STEEL, PAPER AND FORESTRY, RUBBER MANUFACTURING, ENERGY, ALLIED INDUSTRIAL AND SERVICE WORKERS INTERNATIONAL UNION ON BEHALF OF LOCAL UNION 1375-18 EFFECTIVE JULY 1, 2020 THROUGH JUNE 30, 2024 Exhibit 10.9 INDEX AGREEMENT 3 ARTICLE I PURPOSE 3 ARTICLE II RECOGNITION 3-4 ARTICLE III UNION SHOP 4 ARTICLE IV CHECK-OFF 4-5 ARTICLE V

Synalloy Reports Fourth Quarter and Full-Year 2020 Results

EX-99.1 2 synl-20201231xex991.htm EX-99.1 Exhibit 99.1 Synalloy Reports Fourth Quarter and Full-Year 2020 Results Richmond, Virginia, March 9, 2021...Synalloy Corporation (Nasdaq: SYNL) ("Synalloy" or the "Company"), an industrials company focused on the production and distribution of piping, tubing and specialty chemicals, is reporting its results for the fourth quarter and full year ended Decemb

Subsidiaries of the Registrant

Synalloy Corporation Exhibit 21 Subsidiaries of the Registrant All of the Company's subsidiaries are wholly owned.

Annual Report - 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER 0-19687 SYNALLOY CORPORATION (Exact

SCHEDULE 13G

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 )* Synalloy Corp (Name of Issuer) Common Stock (Title of Class of Securities) 871565107 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule

EMPLOYMENT AGREEMENT

EX-99.1 2 sallycunninghamxemploymen.htm EX-99.1 Exhibit 99.1 EMPLOYMENT AGREEMENT This Employment Agreement (the “Agreement”) is made and entered into as of February 5, 2021 by and between Synalloy Corporation, a Delaware corporation (the “Corporation”), and Sally M. Cunningham, a resident of Ashland, Virginia (the “Employee”). RECITALS WHEREAS, the Corporation and the Employee executed and delive

Entry into a Material Definitive Agreement, Financial Statements and Exhibits - 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 5, 2021 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization)

Synalloy Signs New Revolving Credit Facility New Credit Facility Increases Borrowing Capacity, Lowers Interest Rate and Improves Financial Flexibility

Exhibit 99.1 Synalloy Signs New Revolving Credit Facility New Credit Facility Increases Borrowing Capacity, Lowers Interest Rate and Improves Financial Flexibility RICHMOND, Virginia -(BUSINESS WIRE)- Synalloy Corporation (NASDAQ: SYNL) (“Synalloy” or the “Company”) today announced that it has entered into a new, four-year revolving credit facility that provides up to $150 million of borrowing cap

CREDIT AGREEMENT Dated as of January 15, 2021 SYNALLOY CORPORATION, CRI TOLLING, LLC, SYNALLOY FABRICATION, LLC, MANUFACTURERS SOAP & CHEMICAL CO., MANUFACTURERS CHEMICALS, LLC, SYNALLOY METALS, INC., BRISTOL METALS, LLC, SPECIALTY PIPE & TUBE, INC.,

Exhibit 99.2 EXECUTION VERSION CREDIT AGREEMENT Dated as of January 15, 2021 among SYNALLOY CORPORATION, CRI TOLLING, LLC, SYNALLOY FABRICATION, LLC, MANUFACTURERS SOAP & CHEMICAL CO., MANUFACTURERS CHEMICALS, LLC, SYNALLOY METALS, INC., BRISTOL METALS, LLC, SPECIALTY PIPE & TUBE, INC., PALMER OF TEXAS TANKS, INC., AMERICAN STAINLESS TUBING, LLC, each as a Borrower, CERTAIN FINANCIAL INSTITUTIONS,

Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant - 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 15, 2021 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization)

Synalloy Reports Third Quarter 2020 Results

Exhibit 99.1 Synalloy Reports Third Quarter 2020 Results Richmond, Virginia, November 9, 2020...Synalloy Corporation (Nasdaq: SYNL), today announced its results for the third quarter of 2020. Net sales for the third quarter of 2020 totaled $59.3 million. This represents a decrease of $14.4 million or 19.5% when compared to net sales for the third quarter of 2019. Net sales for the first nine month

Third Amended and Restated Master Lease Agreement, dated as of September 10, 2020, between Registrant and Store Master Funding XII, LLC

Exhibit 10.1 THIRD AMENDED AND RESTATED MASTER LEASE AGREEMENT THIS THIRD AMENDED AND RESTATED MASTER LEASE AGREEMENT (this “Lease”) is made as of September 10, 2020 (the “Effective Date”), by and between STORE MASTER FUNDING XII, LLC, a Delaware limited liability company (“Lessor”), whose address is 8377 E. Hartford Drive, Suite 100, Scottsdale, Arizona 85255, and SYNALLOY CORPORATION, a Delaware

Quarterly Report - 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to COMMISSION FILE NUMBER 0-19687 Synalloy Corporatio

Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 9, 2020 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization)

CONFIDENTIAL SEPARATION AND RELEASE AGREEMENT

EX-99.2 3 a992cbramseparationagr.htm EX-99.2 Exhibit 99.2 CONFIDENTIAL SEPARATION AND RELEASE AGREEMENT This Confidential Separation and Release Agreement (“Agreement”) is made by and between Craig C. Bram (“Employee”) and Synalloy Corporation, a Delaware corporation (the “Company”), individually a “Party”; collectively the “Parties.” This Agreement is made in light of the following circumstances:

EXECUTIVE EMPLOYMENT AGREEMENT

EX-99.3 4 a993chrishutterinterim.htm EX-99.3 Exhibit 99.3 EXECUTIVE EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT (“Agreement”) is made and entered into as of October 26, 2020 (the “Effective Date”) by and between Synalloy Corporation, a Delaware corporation (“Company”), and Christopher Hutter, an individual (the “Executive”). WHEREAS, Company desires to employ Executive from and after

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant - 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 23, 2020 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization)

Synalloy Announces Retirement of Craig Bram and Appointment of Chris Hutter as Interim CEO

EX-99.4 5 a994interimceopressrel.htm EX-99.4 Exhibit 99.4 Synalloy Announces Retirement of Craig Bram and Appointment of Chris Hutter as Interim CEO RICHMOND, Virginia -(BUSINESS WIRE)- Synalloy Corporation (NASDAQ: SYNL) today announced that Craig Bram will retire as President and Chief Executive Officer and as a member of the Synalloy’s Board of Directors, effective as of the filing of the Compa

Fifth Amendment to Third Amended and Restated Loan Agreement

Exhibit 99.1 Fifth Amendment to Third Amended and Restated Loan Agreement This Fifth Amendment to Third Amended and Restated Loan Agreement (this “Amendment”) is made as of October 23, 2020, by and among Truist Bank f/k/a Branch Banking and Trust Company, a North Carolina banking corporation (“Bank”) and Synalloy Corporation, a Delaware corporation, Synalloy Fabrication, LLC, a South Carolina limi

Entry into a Material Definitive Agreement - 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 10, 2020 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization

Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 3, 2020 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization)

Synalloy Reports Second Quarter 2020 Results

Exhibit 99.1 Synalloy Reports Second Quarter 2020 Results Richmond, Virginia, September 3, 2020...Synalloy Corporation (Nasdaq: SYNL), today announced its results for the second quarter of 2020. On June 30, 2020, management and the Board of Directors committed to and approved a plan to pursue a sale and exit of its Palmer Tanks of Texas, Inc. business and is actively marketing the sale of the asse

Third Amendment to the Third Amended and Restated Loan Agreement, dated as of July 31, 2020, between Registrant and Truist Bank, formerly Branch Banking & Trust.

Exhibit 10.1 Third Amendment to Third Amended and Restated Loan Agreement This Third Amendment to Third Amended and Restated Loan Agreement (this “Amendment”) is made as of July 31, 2020, by and among Truist Bank f/k/a Branch Banking and Trust Company, a North Carolina banking corporation (“Bank”) and Synalloy Corporation, a Delaware corporation, Synalloy Fabrication, LLC, a South Carolina limited

Quarterly Report - 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to COMMISSION FILE NUMBER 0-19687 Synalloy Corporation (Ex

Fourth Amendment to the Third Amended and Restated Loan Agreement, dated as of August 13, 2020, between Registrant and Truist Bank, formerly Branch Banking & Trust.

Exhibit 10.2 Fourth Amendment to Third Amended and Restated Loan Agreement This Fourth Amendment to Third Amended and Restated Loan Agreement (this “Amendment”) is made as of August 13, 2020, by and among Truist Bank f/k/a Branch Banking and Trust Company, a North Carolina banking corporation (“Bank”) and Synalloy Corporation, a Delaware corporation, Synalloy Fabrication, LLC, a South Carolina lim

SYNALLOY CORPORATION RECEIVES NASDAQ NOTIFICATION OF NON-COMPLIANCE RELATED TO PREVIOUSLY ANNOUNCED DELAYED FILING OF QUARTERLY REPORT ON FORM 10-Q

Exhibit 99.1 SYNALLOY CORPORATION RECEIVES NASDAQ NOTIFICATION OF NON-COMPLIANCE RELATED TO PREVIOUSLY ANNOUNCED DELAYED FILING OF QUARTERLY REPORT ON FORM 10-Q RICHMOND, Va. - (BUSINESS WIRE) (August 26, 2020) - Synalloy Corporation (Nasdaq: SYNL) (the “Company”), announced today that, as expected, it received a standard notification letter dated August 20, 2020, from Nasdaq stating that, as a re

Regulation FD Disclosure, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 26, 2020 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant - 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 13, 2020 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (

- NOTIFICATION OF LATE FILING

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ¨ Form 10-K ¨ Form 20-F ¨ Form 11-K þ Form 10-Q ¨ Form 10-D ¨ Form N-SAR ¨ Form N-CSR For Period Ended: June 30, 2020 ¨ Transition Report on Form 10-K ¨ Transition Report on Form 20-F ¨ Transition Report on Form 11-K ¨ Transition Report on Form 10-Q ¨ Transition Report on Fo

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 31, 2020 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (Co

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 30, 2020 Synalloy Corporation (Exact name of registrant as specified in its charter) Delaware 0-19687 57-0426694 (State or other jurisdiction of incorporation or organization) (Co

SYNL / Synalloy Corp. / UPG Enterprises LLC - SC 13D/A Activist Investment

CUSIP No. 871565107 SCHEDULE 13D/A Page 1 of 7 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Synalloy Corporation (Name of Issuer) Common Stock, par value $1.00 per share (Title of Class of Securities) 871565107 (CUSIP Number) Paul Douglass Christopher Hutter UPG Enterprises LLC 1400 16th Street,

SCHEDULE 13D/A

EXHIBIT 1 SCHEDULE 13D/A GROUP AGREEMENT This Agreement (this “Agreement”) is made and entered into as of June 30, 2020, by and among (i) Privet Fund LP, Privet Fund Management LLC, Ryan Levenson and Benjamin Rosenzweig (collectively, “Privet”) and (ii) UPG Enterprises LLC, Paul Douglass and Christopher Hutter (collectively, “UPG” and together with Privet, each a “Party,” and collectively, the “Parties” or the “Group”).