Statement of Changes in Beneficial Ownership (4)
October 20 2020 - 04:56PM
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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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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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 * HILZINGER MATTHEW
F |
2. Issuer Name and Ticker or Trading
Symbol FUELCELL ENERGY INC [ FCEL ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
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(Last)
(First)
(Middle)
3 GREAT PASTURE ROAD |
3. Date of Earliest Transaction (MM/DD/YYYY)
8/24/2020
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(Street)
DANBURY, CT 06810
(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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
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1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
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 |
Director Restricted Stock
Unit |
(1) |
8/24/2020 |
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A |
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8993 |
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(2) |
(2) |
Common Stock |
8993 |
$0 |
8993 |
D |
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Explanation of
Responses: |
(1) |
Each restricted stock unit
represents a contingent right to receive one share of common stock
or, at the election of the Compensation Committee, the cash value
thereof. |
(2) |
These RSUs (i) vest on the
date of the regularly scheduled annual meeting of the stockholders
of the Company to be held in 2021, and (ii) are to be settled in
cash or in shares of the Company's common stock, at the discretion
of the Compensation Committee, as the administrator under the Plan.
The reporting person has elected to defer receipt of the restricted
stock units until the reporting person's separation from service as
a director, subject to vesting requirements. |
Reporting
Owners
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Reporting Owner Name / Address |
Relationships
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Director |
10% Owner |
Officer |
Other |
HILZINGER MATTHEW F
3 GREAT PASTURE ROAD
DANBURY, CT 06810 |
X |
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Signatures
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/s/ Jacqueline Perez-Ares, As Power of
Attorney |
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10/20/2020 |
**Signature of Reporting
Person |
Date |