0001209191-11-050560.txt : 20111005 0001209191-11-050560.hdr.sgml : 20111005 20111005112023 ACCESSION NUMBER: 0001209191-11-050560 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110929 FILED AS OF DATE: 20111005 DATE AS OF CHANGE: 20111005 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: FUEL TECH, INC. CENTRAL INDEX KEY: 0000846913 STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL & COMMERCIAL FANS & BLOWERS & AIR PURIFYING EQUIP [3564] IRS NUMBER: 205657551 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 27601 BELLA VISTA PARKWAY CITY: WARRENVILLE STATE: IL ZIP: 60555 BUSINESS PHONE: 6308454433 MAIL ADDRESS: STREET 1: 27601 BELLA VISTA PARKWAY CITY: WARRENVILLE STATE: IL ZIP: 60555 FORMER COMPANY: FORMER CONFORMED NAME: FUEL TECH N V DATE OF NAME CHANGE: 19930510 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BAILEY RALPH E CENTRAL INDEX KEY: 0001246269 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33059 FILM NUMBER: 111125986 MAIL ADDRESS: STREET 1: 695 E. MAIN STREET CITY: STAMFORD STATE: CT ZIP: 06901 FORMER NAME: FORMER CONFORMED NAME: BILEY RALPH E DATE OF NAME CHANGE: 20030624 4 1 doc4.xml FORM 4 SUBMISSION X0304 4 2011-09-29 0 0000846913 FUEL TECH, INC. FTEK 0001246269 BAILEY RALPH E 120 LONG RIDGE ROAD STAMFORD CT 06902 0 0 1 0 Common Stock 2011-09-29 5 J 0 E 367589 0.00 A 756046 D Common Stock 2011-09-29 5 J 0 E 2286945 0.00 D 0 I See footnote 1 Common Stock 2011-09-29 5 J 0 E 1919356 A 2125481 I Owned by Spouse Common Stock 2011-09-29 5 G 0 E 1919356 0.00 D 206125 I Owned by Spouse Common Stock 170980 I Owned jointly with Spouse On September 29, 2011 a family limited liability company, the interests in which company are owned 50% by the reporting person and 50% by the spouse of the reporting person, made a liquidating distribution including Fuel Tech shares. The reporting person held 100% of the voting power over these Fuel Tech shares. 367,589 of the shares and property valued at $9,295,082 were distributed to the reporting person and 1,919,356 shares were distributed to the spouse of the reporting person. Shares transferred by reporting person's spouse to a grantor retained annuity trust ("Spouse's GRAT"). Ralph E. Bailey 2011-10-05