Form 4 for FCEL FUELCELL ENERGY INC
Accepted 2022-04-11 00:00:00 ET · period of report 2022-04-07 · accession 0001567619-22-008377 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2022-04-11 | 2022-04-07 | FCEL | von Althann Natica | Dir | M - OptEx | $0.00 | +1,973 | 3,890 | +103% | $0 |
| D | 2022-04-11 | 2022-04-07 | FCEL | von Althann Natica | Dir | A - Grant | $0.00 | +13.4K | 87.1K | +18% | $0 |
| D | 2022-04-11 | 2022-04-07 | FCEL | von Althann Natica | Dir | M - OptEx | $0.00 | -1,973 | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-04-07 | M | A | 1,973 | $0.00 | 3,890 | D | — | — | (F1) The balance excludes 14,367 shares inadvertently included in prior Form 4s. These shares were reported as vested in a Form 4 filed on 4/13/20, as amended by a Form 4 filed on 4/24/20. Such shares were deferred under the Directors Deferred Compensation Plan and will be received by the reporting person upon separation from service as a director. |
| 2 | Derivative | Deferred Common Stock Units | 2022-04-07 | A | A | 13,441 | $0.00 | 87,133 | D | — · — to — | 13,441 Common Stock | (F5) Balance reflects the 4/7/2022 vesting of 3,946 restricted stock units that were deferred by the reporting person. (F4) 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, 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), upon separation from service as a director. |
| 3 | Derivative | Director Restricted Stock Unit | 2022-04-07 | M | D | 1,973 | $0.00 | 0 | D | — · — to — | 1,973 Common Stock | (F2) Each?restricted?stock?unit?represented?a?contingent?right?to?receive?one?share?of?common?stock?or,?at?the?election?of?the?Compensation?Committee,?the?cash?value?thereof. (F3) These restricted stock units (i) vested on the date of the regularly scheduled annual meeting of the stockholders of the Company held in 2022 (i.e., April 7, 2022) and (ii) were settled in shares of FuelCell Energy common stock. |