SEC Form 5 · accession 0001472375-18-000026
FUEL TECH, INC. · FTEK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bettye J Bailey
10% Owner
Period of report
Dec 31, 2017
Accepted (ET)
Mar 26, 2018 · 1:15 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 | Aug 27, 2017 | W | 32,028 | $0.00 | A | 2,961,384 | D | |
| Common StockF2,F3 | Oct 12, 2017 | W | 1,367,589 | $0.00 | A | 4,328,973 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Transfer by inheritance of 32,028 shares from a marital trust that were formerly owned by the Estate of Ralph E. Bailey, the deceased husband of Mrs. Bailey.
- F2Transfer by inheritance of 1,367,509 shares from the Estate of Ralph E. Bailey.
- F3Excludes 245,000 shares owned by a family trust in which Mrs. Bailey has no beneficial ownership interest.