SEC Form 4 · accession 0000846913-16-000090
FUEL TECH, INC. · FTEK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas G Bailey
Officer — Executive Chairman · Director
Period of report
Dec 30, 2015
Accepted (ET)
Jan 4, 2016 · 4:27 pm EST
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 | Dec 30, 2015 | P | 15,000 | $1.85 | A | 1,842,438 | D | |
| Common StockF2 | holding | — | — | — | 15,000 | I | Daughter | |
| Common StockF3 | holding | — | — | — | 245,000 | I | Family Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $1.82 to $1.85; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the Registrant, or a security holder of the Registrant.
- F2The reporting person disclaims beneficial ownership of these shares.
- F3The reporting person is a beneficiary of the trust and shares investment control over the shares in the trust. The reporting person disclaims ownership of the shares in the trust, except to the extent of his pecuniary interest. This report should not be deemed an admission that the reporting person is the beneficial owner of shares held by the trust or by the daughter for purposes of Section 16 or for any other purpose.