Amended Statement of Changes in Beneficial Ownership (4/a)
26 Agosto 2020 - 10:59PM
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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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
*
Few Jason |
2. Issuer Name and Ticker or Trading Symbol
FUELCELL ENERGY INC
[
FCEL
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
CEO |
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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)
5/12/2020 |
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | | | | | | | | 5787 | D | |
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 |
| Employee Restricted Stock Unit | $0 | 6/3/2020 (1) | | A | | 500000 | | (2) | (2) | Common Stock | 500000 | $0 | 500000 | D | |
| Performance Share Units | $0 | 6/3/2020 (1) | | A | | 500000 | | (3) | (3) | Common Stock | 500000 | $0 | 500000 | D | |
| Deferred Common Stock Units | (4) | | | | | | | (4) | (4) | Common Stock | 5347 | | 5347 | D | |
| Explanation of Responses: |
| (1) | The transaction date for these awards was erroneously shown as May 8, 2020 on the original report filed on May 12, 2020 and is corrected in this amendment to June 3, 2020. |
| (2) | RSUs will vest 100% on August 26, 2022, subject to the reporting person's continuous employment with the Company through the vesting date. |
| (3) | Earned PSUs will vest on August 26, 2022 and the number earned, if any, will be based on the weighted-average price of the Company's common stock during the thirty (30) day calendar period ending on the vesting date compared to pre-established price goals. The vesting of the PSUs is also subject to the reporting person's continuous employment with the Company through the vesting date. |
| (4) | 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, the shares of common stock underlying the Common Stock Units are payable to the reporting person, on a one-for-one basis (i.e., one share of common stock for each Common Stock Unit), on the date following the FuelCell Energy 2020 Annual Meeting of Stockholders. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Few Jason
3 GREAT PASTURE ROAD
DANBURY, CT 06810 | X |
| CEO |
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Signatures
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| /s/ Jacqueline Perez-Ares, as Power of Attorney | | 8/26/2020 |
| **Signature of Reporting Person | Date |
Grafico Azioni FuelCell Energy (NASDAQ:FCEL)
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