SEC Form 4 · accession 0000899243-15-009386
CECO ENVIRONMENTAL CORP · CECO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan Pollack
Director
Period of report
Dec 4, 2015
Accepted (ET)
Dec 7, 2015 · 2:34 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000003197
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 4, 2015 | P | 7,000 | $7.7898 | A | 49,500 | I | See footnote |
| Common Stock | holding | — | — | — | 2,300 | I | By Spouse | |
| Common StockF2 | holding | — | — | — | 9,676 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares are owned directly by JMP FAM Holdings Inc., and indirectly by Jonathan Pollack. Jonathan Pollack is deemed to control JMP FAM Holdings Inc. because he has sole voting and dispositive power of the shares of common stock of the Issuer owned directly by JMP FAM Holdings Inc.
- F2Prior Section 16 reports had included 42,500 shares that were reported as being both directly and indirectly owned by Jonathan Pollack. Such shares, however, are not owned directly by Jonathan Pollack, but instead are owned only indirectly by Mr. Pollack. See Footnote (1) above.