-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, JdRL7NcMpZr4xDz9or7hBfMX9GXqVtqyZNDDyubAYwQaOp6EIud4dcSwRfvIWUkR QRsUDKos5EmiFLgwM2DzQg== 0000064463-00-000023.txt : 20000511 0000064463-00-000023.hdr.sgml : 20000511 ACCESSION NUMBER: 0000064463-00-000023 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000510 FILED AS OF DATE: 20000510 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MECHANICAL TECHNOLOGY INC CENTRAL INDEX KEY: 0000064463 STANDARD INDUSTRIAL CLASSIFICATION: MEASURING & CONTROLLING DEVICES, NEC [3829] IRS NUMBER: 141462255 STATE OF INCORPORATION: NY FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-06890 FILM NUMBER: 624253 BUSINESS ADDRESS: STREET 1: 325 WASHINGTON AVENUE EXTENSION CITY: ALBANY STATE: NY ZIP: 12205-5505 BUSINESS PHONE: 5182182500 MAIL ADDRESS: STREET 1: 968 ALBANY SHAKER RD STREET 2: 968 ALBANY SHAKER RD CITY: LATHAM STATE: NY ZIP: 12110 COMPANY DATA: COMPANY CONFORMED NAME: MECHANICAL TECHNOLOGY INC CENTRAL INDEX KEY: 0000064463 STANDARD INDUSTRIAL CLASSIFICATION: MEASURING & CONTROLLING DEVICES, NEC [3829] DIRECTOR IRS NUMBER: 141462255 STATE OF INCORPORATION: NY FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 325 WASHINGTON AVENUE EXTENSION CITY: ALBANY STATE: NY ZIP: 12205-5505 BUSINESS PHONE: 5182182500 MAIL ADDRESS: STREET 1: 968 ALBANY SHAKER RD STREET 2: 968 ALBANY SHAKER RD CITY: LATHAM STATE: NY ZIP: 12110 4 1 FORM 4 U.S. SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL WASHINGTON, D.C. 20549 OMB NUMBER: 3235-0362 [ ] Check this box if no longer Expires: September 30, 1998 subject to Section 16. Form 4 Estimate average burden or Form 5 obligations may hours per response..... 0.5 continue. See Instructions 1(b) STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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(f) of the Investment Company Act of 1940 (Print or Type Responses) 1.Name and Address of Reporting Person* 2. Issuer Name and Ticker 6. Relationship of Reporting Person to Issuer or Trading Symbol (Check all applicable) Walter L. Robb Mechanical Technology Incorporated (MKTY) X Director 10% Owner ----- ----- Officer (give Other (Last) (First) (Middle) 3. IRS or Social Security 4. Statement for ----- title below) ----- (specify Number of Reporting Month/Year below) 3000 Troy-Schenectady Road Person (voluntary) 4/00 -------------------------------- (Street) 5 If Amendment, 7. Individual or Joint/Group Filing Date of Original (check Applicable Lines) Niskayuna NY 12309 (Month/Year) X Form Filed by One Reporting Person --- (City) (State) (Zip) Form Filed by More than One --- Reporting Person TABLE I NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED 1. Title of Security 2. Trans- 3. Trans- 4. Securities Acquired 5. Amount of 6. Owner- 7. Nature (Instr. 3) action action (A)or Disposed of (D) Securities ship of Date Code Benefic- Form: Indirect (Instr. 8) (Instr. 3, 4 and 5) ially Direct Bene- (Month/ Owned at (D) or ficial Day/ Code V Amount (A) or Price End of Indirect Owner- Year) (D) Month (I) ship (Instr. 3 (Instr. (Instr. and 4) 4) 4) Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) * If the form is filed by more than one reporting person, see Instructions 4(b)(v) SEC 1474 (7-96) FORM 4 (CONTINUED) TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) 1.Title of 2.Conver- 3.Trans- 4.Transac- 5.Number of 6.Date Exer- 7.Title 8.Price 9.Number 10.Owner- 11.Na- Derivative sion or action tion Code Derivative cisable and Amount of of Deriv- ship ture Security Exercise Date (Instr. 8) Securities and Expir- of Under- Deriv- ative Form of In- (Instr. 3) Price (Month/ Acquired (A) ation Date lying ative Secur- of De- direct of Day/ or Disposed (Month/ Securities Secur- ities rivative Bene- Deriva- Year) of (D) Day/Year) ity Bene- Secu- ficial tive (Instr. 3,- (Instr. 3 (Instr ficially rity; Own- Security 4, and 5) and4) . 5) Owned Direct ership at End (D) or (Instr Amount of Indi- . 4) Date Expir- or Month rect (I) Exer- ation Title Number (Instr. (Instr. cisa- Date of 4) 4) Code V (A) (D) ble Shares Emp. Stock $20.92(1) 04/01/00 J 30,000(1) 4/1/00 3/31/10 Common 30,000 -0- 30,000 D Options (Rights to Buy) Stock Emp. Stock $4.17 (2) 04/01/99 J 45,000(2) 4/1/99 3/31/09 Common 45,000 -0- 45,000 D Options (Rights to Buy) Stock Emp. Stock $1.33 (3) 08/31/98 J 45,000(3) 8/31/98 8/30/08 Common 45,000 -0- 45,000 D Options (Rights to Buy) Stock Explanation of Responses: 1 This option was issued on 4/1/00 as 10,000 shares at a purchase price of $62.75 per share. This report reflects the Company's issuance of the options and the 3 for 1 stock split declared on March 8, 2000 payable to all holders of record of common stock on April 3, 2000. 2 This option was previously reported as 15,000 shares at a purchase price of $12.50 per share. This report reflects the Company's 3 for 1 stock split declared on March 8, 2000 payable to all holders of record of common stock on April 3, 2000. 3 This option was previously reported as 15,000 shares at a purchase price of $4.00 per share. This report reflects the Company's 3 for 1 stock split declared on March 8, 2000 payable to all holders of record of common stock on April 3, 2000. ** Intentional misstatements or omissions of facts /s/ Walter L. Robb May 10, 2000 constitute Federal Criminal Violations. -------------------------------------------- --------------- See 18 U.S.C. 1001 and 15. U.S.C. 78ff(a). **Signature of Reporting Person Date Walter L. Robb Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
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