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 |
|
| ||||||||||||||||||||||||||||||
|
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) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Common Stock | 05/20/2009 | 05/20/2019 | Common Stock | 5,000 | $ 10.2 | D | Â |
Restricted Stock Units | Â (1) | Â (1) | Common Stock | 1,250 | $ (2) | D | Â |
Restricted Stock Units | Â (3) | Â (3) | Common Stock | 536 | $ (2) | D | Â |
Restricted Stock Units | Â (3) | Â (3) | Common Stock | 4,039 | $ (2) | D | Â |
Restricted Stock Units | Â (4) | Â (4) | Common Stock | 5,500 | $ (2) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Ringel Karen L C/O FUEL TECH 27601 BELLA VISTA PARKWAY WARRENVILLE, IL 60555 |
 |  |  Vice President |  |
Karen L Ringel | 01/25/2013 | |
**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) | On December 21, 2010, the reporting person was granted 2,500 RSUs, of which fifty percent (50%) of the shares subject to the RSUs vested on December 21, 2012. The remaining Common Stock into which such vested RSUs converted and is owned by the reporting person is reported in Table I. The remaining unvested RSUs will continue to vest as follows: 625 RSUs will vest on December 21, 2013, and 625 RSUs will vest on December 21, 2014. |
(2) | Each restricted stock unit is the economic equivalent of one share of Fuel Tech, Inc. Common Stock. |
(3) | The Restricted Stock Units vest in one installment on the second anniversary of the June 29, 2011 grant date. Generally, shares will be delivered to the reporting person in respect of vested RSUs as soon as practicable after the vesting date, unless the reporting person has elected to defer distribution until a later date. |
(4) | The Restricted Stock Units vest in three installments from the RSU grant date of March 16, 2012 ("Grant Date"): (i) one-third of the total RSUs awarded shall vest thirteen (13) months after the RSU Grant Date, (ii) one-third shall vest on the second anniversary of the RSU Grant Date, and (iii) the remaining one-third shall vest on the third anniversary of the RSU Grant Date. 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. |