Initial Statement of Beneficial Ownership (3)
September 16 2020 - 10:56AM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Houghton Kathleen |
2. Date of Event Requiring Statement (MM/DD/YYYY)
9/14/2020
|
3. Issuer Name and Ticker or Trading Symbol
HUDSON TECHNOLOGIES INC /NY [HDSN]
|
(Last)
(First)
(Middle)
C/O HUDSON TECHNOLOGIES, INC., ONE BLUE HILL PLAZA, P.O. BOX 1541 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) VP - Sales and Marketing / |
(Street)
PEARL RIVER, NY 10965
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
|
1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 0 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option | (1) | 5/23/2021 | Common Stock | 6000 | $2.17 | D | |
Stock Option | (1) | 6/8/2021 | Common Stock | 30000 | $2.31 | D | |
Stock Option | (1) | 11/30/2021 | Common Stock | 125000 | $1.09 | D | |
Stock Option | (1) | 2/20/2022 | Common Stock | 20000 | $1.25 | D | |
Stock Option | (2) | 12/19/2029 | Common Stock | 120000 | $0.75 | D | |
Explanation of Responses: |
(1) | Already fully vested. |
(2) | One-half vested; remainder vests in two equal installments based on performance criteria after Q3 and Q4 2020. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Houghton Kathleen C/O HUDSON TECHNOLOGIES, INC. ONE BLUE HILL PLAZA, P.O. BOX 1541 PEARL RIVER, NY 10965 |
|
| VP - Sales and Marketing |
|
Signatures
|
/s/Kathleen Houghton | | 9/16/2020 |
**Signature of Reporting Person | Date |
Hudson Technologies (NASDAQ:HDSN)
Historical Stock Chart
From Mar 2024 to Apr 2024
Hudson Technologies (NASDAQ:HDSN)
Historical Stock Chart
From Apr 2023 to Apr 2024