SEC Form 4 · accession 0001010541-17-000006
HUDSON TECHNOLOGIES INC /NY · HDSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen P Mandracchia
Officer — VP Legal & Regulatory
Period of report
Aug 18, 2014
Accepted (ET)
Aug 22, 2017 · 5:59 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 | Jun 5, 2017 | G | 100 | $0.00 | D | 1,621,161 | I | Held by Spouse and Children |
| Common StockF1,F2 | Aug 3, 2017 | G | 5,000 | $0.00 | D | 1,616,161 | I | Held by Spouse and Children |
| Common StockF2,F3 | Aug 18, 2017 | M | 76,855 | $3.23 | A | 1,616,161 | I | Held by Spouse and Children |
| Common StockF2,F4 | Aug 18, 2017 | M | 28,145 | $3.55 | A | 1,616,161 | I | Held by Spouse and Children |
| Common StockF5,F6,F2,F4 | Aug 18, 2017 | F | 59,088 | $8.56 | D | 1,557,073 | I | Held by Spouse and Children |
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) | $3.55 | Aug 18, 2017 | M | 28,145 | D | Oct 1, 2014 | Oct 1, 2017 | Common Stock | 28,145 | 0 | D |
| Stock Option (Right to Buy) | $3.23 | Aug 18, 2017 | M | 76,855 | D | Oct 1, 2014 | Oct 1, 2017 | Common Stock | 76,855 | 0 | D |
Explanation of responses
- F1Includes 438,000 shares which may be purchased pursuant to stock options.
- F2Includes 443,000 shares held by Reporting Person and 9,800 shares held by Reporting Person's children.
- F3Includes 361,145 shares which may be purchased pursuant to options
- F4Includes 333,000 shares which may be purchased pursuant to stock options
- F5No shares sold on the open market. Pursuant to provisions of the Company's Stock Incentive Plan, shares from option exercises were applied by the Company to cover the purchase price and taxes due upon exercise of options.
- F6Closing Stock Price on August 18, 2017