Amended Statement of Changes in Beneficial Ownership (4/a)
January 20 2021 - 04:37PM
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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APPROVAL
OMB Number: 3235-0287
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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 * England James
Herbert |
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)
6/3/2020
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(Street)
DANBURY, CT 06810
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
6/5/2020
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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 |
Deferred Common Stock Units |
(2) |
6/3/2020 |
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A |
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7739 (1) |
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(2) |
(2) |
Common Stock |
7739 |
$0 |
26417 |
D |
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Explanation of
Responses: |
(1) |
This amendment is being
filed to correct the number of units awarded on June 3, 2020. The
original filing made on June 5, 2020, indicated that the number of
units awarded was 30,952, which reflected the full number of units
to be awarded throughout the year. The actual number of units
awarded on June 3, 2020 was 7,739. |
(2) |
Deferred common stock units
issued to the reporting person pursuant to the FuelCell Energy,
Inc. Directors Deferred Compensation Plan. In accordance with
elections made by the reporting person under the Directors Deferred
Compensation Plan, each common stock unit is the economic
equivalent of one share of FuelCell Energy common stock, payable to
the reporting person in cash upon separation from service as a
director. |
Reporting
Owners
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Reporting Owner Name / Address |
Relationships
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Director |
10% Owner |
Officer |
Other |
England James Herbert
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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1/20/2021 |
**Signature of Reporting
Person |
Date |