SC 13G/A: ASCENT INDUSTRIES CO.

AI Summary

SC 13G/A filing by ASCENT INDUSTRIES CO..

Risk Assessment

Risk Level: low

FAQ

Filing Documents

• d12241sc13ga1.htm (SC 13G/A) — 84KB
• 0001214659-24-002585.txt ( ) — 86KB

Ownership

Item 4. Ownership (a) Reference is made to Items 5 – 11 on the preceding pages of this Schedule 13G. As of the close of business on December 31, 2023, Mink Brook Partners LP and Mink Brook Opportunity Fund LP held an aggregate of 717,706 shares of the common stock of the Issuer. As the general partner to both Mink Brook Partners LP and Mink Brook Opportunity Fund LP, Mink Brook Capital GP LLC may be deemed to have shared power to vote or to direct the vote and to dispose or to direct the disposition of the shares held by Mink Brook Partners LP and Mink Brook Opportunity Fund LP. As the managing member of Mink Brook Capital GP LLC, William Mueller may be deemed to have shared power to vote or to direct the vote and to dispose or to direct the disposition of the shares held by Mink Brook Partners LP and Mink Brook Opportunity Fund LP. Neither the filing of this Schedule 13G nor any of its contents shall be deemed to constitute an admission that Mr. Mueller or Mink Brook Capital GP LLC is the beneficial owner of the shares of the common stock of the Issuer referred to herein for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, or for any other purpose, and such beneficial ownership is expressly disclaimed, except to the extent of their respective pecuniary interests therein. (b) Percent of Class: Mink Brook Partners LP – 3.48% Mink Brook Opportunity Fund LP – 3.61% Mink Brook Capital GP LLC – 7.09% William Mueller – 7.09% This percentage is calculated based upon 10,125,533 shares of common stock outstanding of the Issuer disclosed in the annual 10-Q dated November 8, 2023. (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: Mink Brook Partners LP – 0 Mink Brook Opportunity Fund LP – 0 Mink Brook Capital GP LLC – 0 William Mueller – 0 (ii) Shared power to vote or to direct the vote: Mink Brook Partners LP – 352

Ownership of Five Percent or Less of a Class

Item 5. Ownership of Five Percent or Less of a Class. Not applicable.

Ownership of more than Five Percent on Behalf of Another Person

Item 6. Ownership of more than Five Percent on Behalf of Another Person. Not applicable.

Identification and classification of the subsidiary which acquired the security being reported on by

Item 7. Identification and classification of the subsidiary which acquired the security being reported on by the parent holding company or control person. Not applicable.

Identification and classification of members of the group

Item 8. Identification and classification of members of the group. Not applicable.

Notice of Dissolution of Group

Item 9. Notice of Dissolution of Group. Not applicable.

Certifications

Item 10. Certifications. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose, or with the effect, of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. 8 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: February 14, 2024 WILLIAM MUELLER /s/ William Mueller Mink Brook Opportunity Fund LP /s/ William Mueller Title: Managing Member, general partner Mink Brook Capital GP LLC Mink Brook Partners LP /s/ William Mueller Title: Managing Member, general partner Mink Brook Capital GP LLC Mink Brook Capital GP LLC /s/ William Mueller Title: Managing Member, general partner Mink Brook Capital GP LLC The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative (other than an executive officer or general partner of this filing person), evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001). 9

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