Statement of Changes in Beneficial Ownership (4)
December 23 2019 - 5:18PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Krishnamurti Nat |
2. Issuer Name and Ticker or Trading Symbol
HUDSON TECHNOLOGIES INC /NY
[
HDSN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CFO |
(Last)
(First)
(Middle)
C/O HUDSON TECHNOLOGIES, PO BOX 1542 ONE BLUE HILL PLAZA |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/19/2019 |
(Street)
SOMERSET, NY 10965
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | $0.75 | 12/19/2019 | | A | | 175000 | | 12/19/2019 | 12/19/2029 | Common Stock | 175000 | $0 | 175000 | D | |
Stock Option (Right to Buy) | $0.75 | 12/19/2019 | | A | | 125000 | | 4/10/2020 (1) | 12/19/2029 | Common Stock | 125000 | $0 | 125000 | D | |
Explanation of Responses: |
(1) | Options vest quarterly in four equal installments commencing with the first quarter 2020 and ending with the fourth quarter 2020, with vesting conditioned upon continued compliance with term loan financial covenant. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Krishnamurti Nat C/O HUDSON TECHNOLOGIES PO BOX 1542 ONE BLUE HILL PLAZA SOMERSET, NY 10965 |
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| CFO |
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Signatures
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Nat Krishnamurti | | 12/23/2019 |
**Signature of Reporting Person | Date |
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