SEC Form 4 · accession 0001010541-15-000013
HUDSON TECHNOLOGIES INC /NY · HDSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin J Zugibe
Officer — Chairman, Chief Executive Off · Director
Period of report
May 6, 2015
Accepted (ET)
May 8, 2015 · 4:55 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000925528
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | May 6, 2015 | S | 145,300 | $4.55 | D | 4,763,128 | D | |
| Common StockF2 | May 7, 2015 | S | 100,000 | $4.08 | D | 4,663,128 | D | |
| Common StockF3 | May 8, 2015 | M | 18,750 | $0.83 | A | 4,663,128 | D | |
| Common StockF4 | May 8, 2015 | M | 18,750 | $2.15 | A | 4,663,128 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy) | $0.83 | May 8, 2015 | M | 18,750 | D | Jul 8, 2005 | Jul 8, 2015 | Common Stock | 18,750 | 0 | D |
| Stock Option (right to buy) | $2.15 | May 8, 2015 | M | 18,750 | D | Sep 30, 2005 | Sep 30, 2015 | Common Stock | 18,750 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.4004 to $4.6516 per share inclusive. The reporting person undertakes to provide Hudson Technologies, Inc., any security holder of Hudson Technologies, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4,
- F2Includes 758,550 shares which may be purchased pursuant to stock options.
- F3Includes 739,800 shares which may be purchased pursuant to stock options.
- F4Includes 721,050 shares which may be purchased pursuant to stock options.