0000899243-19-028071.txt : 20191125
0000899243-19-028071.hdr.sgml : 20191125
20191125170808
ACCESSION NUMBER: 0000899243-19-028071
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191122
FILED AS OF DATE: 20191125
DATE AS OF CHANGE: 20191125
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Pollack Jonathan
CENTRAL INDEX KEY: 0001403564
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-07099
FILM NUMBER: 191246939
MAIL ADDRESS:
STREET 1: 2300 YONGE STREET
STREET 2: SUITE 1710
CITY: TORONTO
STATE: A6
ZIP: M4P 1E4
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: CECO ENVIRONMENTAL CORP
CENTRAL INDEX KEY: 0000003197
STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL & COMMERCIAL FANS & BLOWERS & AIR PURIFYING EQUIP [3564]
IRS NUMBER: 132566064
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 14651 NORTH DALLAS PARKWAY
STREET 2: SUITE 500
CITY: DALLAS
STATE: TX
ZIP: 75254
BUSINESS PHONE: (513) 458-2600
MAIL ADDRESS:
STREET 1: 4625 RED BANK ROAD
STREET 2: SUITE 200
CITY: CINCINNATI
STATE: OH
ZIP: 45227
FORMER COMPANY:
FORMER CONFORMED NAME: API ENTERPRISES INC
DATE OF NAME CHANGE: 19920703
FORMER COMPANY:
FORMER CONFORMED NAME: ALARM PRODUCTS INTERNATIONAL INC
DATE OF NAME CHANGE: 19851210
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2019-11-22
0
0000003197
CECO ENVIRONMENTAL CORP
CECE
0001403564
Pollack Jonathan
14651 NORTH DALLAS PARKWAY
SUITE 500
DALLAS
TX
75254
1
0
0
0
Common Stock
2019-11-22
4
M
0
65000
4.05
A
109851
D
Common Stock
2019-11-22
4
F
0
33772
7.795
D
76079
D
Common Stock
85200
I
See footnote
Common Stock
2300
I
By Spouse
Option (right to buy)
4.05
2019-11-22
4
M
0
65000
0.00
D
2010-12-13
2019-12-13
Common Stock
65000
0
D
On November 22, 2019, the reporting person exercised in full an option to purchase 65,000 shares of common stock of CECO Environmental Corp. ("CECO") for $4.05 per share on a cashless basis, resulting in the net issuance of 31,228 shares to the reporting person. The payment of the exercise price of the option on a cashless basis was previously approved by the Compensation Committee of the Board of Directors of CECO for purposes of Rule 16b-3(e) under the Securities Exchange Act of 1934.
These shares are owned directly by JMP FAM Holdings Inc., and indirectly by Jonathan Pollack. Jonathan Pollack is deemed to control JMP FAM Holdings Inc. because he has sole voting and dispositive power of the shares of common stock of the Issuer owned directly by JMP FAM Holdings Inc.
/s/ Paul M. Gohr, Attorney-in-Fact for Jonathan Pollack
2019-11-25