SEC Form 4 · accession 0001225208-17-007882
FUELCELL ENERGY INC · FCEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Arthur A. Bottone Jr.
Officer — President and CEO · Director
Period of report
Apr 6, 2017
Accepted (ET)
Apr 10, 2017 · 5:34 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000886128
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 7, 2017 | F | 8,455 | $1.60 | D | 198,592 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Restricted Stock UnitF2,F4 | — | Apr 6, 2017 | A | 330,500 | A | — | — | Common Stock | 330,500 | 330,500 | D |
Explanation of responses
- F1Represents shares netted for taxes pursuant to vesting of a portion of Restricted Stock granted on April 7, 2016.
- F2Each Restricted Stock Unit represents a contingent right to receive one share of common stock upon vesting of the Restricted Stock Unit.
- F3Awarded under the Amended & Restated 2010 Equity Incentive Plan.
- F4The Restricted Stock Units vest 1/3 on each of the first, second and third anniversaries of the date of grant, subject to continued employment.