UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock options | 05/20/2009 | 05/20/2019 | Common stock | 5,000 | $ 10.2 | D | Â |
Restricted Stock Units | Â (1) | Â (1) | Common stock | 2,500 | $ (2) | D | Â |
Restricted Stock Units | Â (1) | Â (1) | Common stock | 4,478 | $ (2) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Petrak Michael F FUEL TECH 27601 BELLA VISTA PARKWAY WARRENVILLE, IL 60555 |
 |  |  Vice President |  |
Michael F Petrak | 03/08/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The Restricted Stock Units (RSUs) vest in three installments: 50% of the RSUs vest on the second anniversary of the transaction date shown above; 25% vest on the third anniversary of the transaction date; and 25% vest on the fourth anniversary of the transaction date. Subject to the restrictions on distribution set forth in the registrant's RSU Agreement, generally, shares will be delivered to the reporting person in respect of vested RSUs as soon as practicable after each vesting date, unless the reporting person has elected to defer distribution until a later date. |
(2) | Each Restricted Stock Unit represents a contingent right to receive one stock of FTEK Common Stock. |