SEC Form 4 · accession 0001010541-17-000021
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
Nov 17, 2017
Accepted (ET)
Nov 20, 2017 · 8:25 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 | Sep 11, 2017 | G | 5,000 | $0.00 | D | 1,552,073 | I | Held by Spouse and Children |
| Common StockF2 | Nov 17, 2017 | M | 125,000 | $0.85 | A | 1,552,073 | I | Held by Spouse and Children |
| Common StockF3,F4,F2 | Nov 17, 2017 | F | 48,592 | $5.76 | D | 1,502,481 | 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 | $0.85 | Nov 17, 2017 | M | 125,000 | D | Nov 20, 2007 | Nov 20, 2017 | Common Stock | 125,000 | 0 | D |
Explanation of responses
- F1Includes 333,000 shares which may be purchased pursuant to stock options. Also includes 766,273 shares held by Spouse and 9,800 shares held by Reporting Person's children
- F2Includes 208,000 which may be purchased pursuant to stock options. Also includes 841,681 shares held by Reporting Person's Spouse and 9,800 shares held by Reporting Person's children.
- F3No shares sold on the Open Market. Pursuant to provisions 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.
- F4Closing Stock Price on November 17, 2017.