SEC Form 4/A · accession 0001010541-16-000055
HUDSON TECHNOLOGIES INC /NY · HDSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Charles F Harkins
Officer — Vice President Sales
Period of report
Aug 22, 2016
Accepted (ET)
Aug 30, 2016 · 4:34 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 | Aug 22, 2016 | M | 160,000 | $3.23 | A | 260,000 | D | |
| Common StockF2,F1 | Aug 22, 2016 | M | 125,000 | $5.472 | D | 135,000 | D | |
| Common StockF1 | Aug 23, 2016 | M | 35,000 | $5.70 | D | 100,000 | D | |
| Common Stock | Aug 23, 2016 | M | 100,000 | $3.79 | A | 100,000 | D | |
| Common StockF3 | Aug 23, 2016 | M | 80,000 | $6.17 | D | 20,000 | 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) | $3.23 | Aug 22, 2016 | M | 160,000 | D | Oct 1, 2014 | Oct 1, 2017 | Common Stock | 160,000 | 0 | D |
| Stock Option (Right to Buy) | $3.79 | Aug 23, 2016 | M | 100,000 | D | Jul 18, 2016 | Jul 18, 2019 | Common Stock | 100,000 | 0 | D |
Explanation of responses
- F1Includes 100,000 shares which may be purchased pursuant to stock options.
- F2Sales reported reflect average selling price. Selling price for all shares sold during the day ranged from $5.47 per share to $5.48 per share.
- F3Sales reported reflect average selling price. Selling price for all shares sold during the day ranged from $6.15 per share to $6.18 per share.