SEC Form 4 · accession 0001010541-17-000019
HUDSON TECHNOLOGIES INC /NY · HDSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin J Zugibe
Officer — Chairman, CEO · Director
Period of report
Nov 17, 2017
Accepted (ET)
Nov 20, 2017 · 7:24 am EST
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 | Nov 17, 2017 | M | 195,000 | $0.85 | A | 4,304,103 | D | |
| Common StockF2,F3,F1 | Nov 17, 2017 | F | 96,180 | $5.76 | D | 4,207,923 | 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) | $0.85 | Nov 17, 2017 | M | 195,000 | D | Nov 20, 2007 | Nov 20, 2017 | Common Stock | 195,000 | 0 | D |
Explanation of responses
- F1Includes 628,000 shares which may be purchased pursuant to stock options.
- F2No shares were sold on the open market. Pursuant to the terms of the Company's Stock Incentive Plan, shares from the option exercise were applied by the Company to cover the exercise price and the taxes due upon the exercise of the options.
- F3Closing Stock Price on November 11, 2017.