SEC Form 4 · accession 0000846913-15-000039
FUEL TECH, INC. · FTEK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ralph E Bailey
10% Owner
Period of report
Mar 31, 2015
Accepted (ET)
Apr 9, 2015 · 5:12 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000846913
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 31, 2015 | G | 2,919,356 | — | D | 0 | I | Owned by Spouse |
| Common Stock | holding | — | — | — | 1,399,617 | D | ||
| Common Stock | holding | — | — | — | 10,000 | I | Owned jointly with Spouse | |
| Common StockF2 | holding | — | — | — | 245,000 | I | Family Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares transferred by reporting person's spouse to a grantor retained annuity trust ("Spouse's GRAT").
- F2Mr. Bailey has power of substitution over property in this trust but neither Mr. Bailey nor his spouse are beneficiaries of the trust and Mr. Bailey disclaims beneficial ownership of such shares. This report should not be deemed admission that the reporting person is the beneficial owner of the shares in this trust for purposes of Section 16 or for any other purposes.