-----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, L2zh83SjTxUeN7772L8hlud2ZVtEx1WnJdSp2dBHeVtrUc3DLYgJIqpntPGIqoHe XA+Y+8t6YW3Eh9HMp+FChw== 0001005477-99-001682.txt : 19990412 0001005477-99-001682.hdr.sgml : 19990412 ACCESSION NUMBER: 0001005477-99-001682 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990330 FILED AS OF DATE: 19990409 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HUDSON TECHNOLOGIES INC /NY CENTRAL INDEX KEY: 0000925528 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-MACHINERY, EQUIPMENT & SUPPLIES [5080] IRS NUMBER: 133641530 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 033-80270-NY FILM NUMBER: 99590267 BUSINESS ADDRESS: STREET 1: 25 TORNE VALLEY RD CITY: HILLBURN STATE: NY ZIP: 10931 BUSINESS PHONE: 9143684990 MAIL ADDRESS: STREET 1: 25 THORNE VALLEY RD CITY: HILLBURN STATE: NY ZIP: 10931 FORMER COMPANY: FORMER CONFORMED NAME: REFRIGERANT RECLAMATION INDUSTRIES INC DATE OF NAME CHANGE: 19940617 COMPANY DATA: COMPANY CONFORMED NAME: FLEMING ROBERT INC / DA CENTRAL INDEX KEY: 0000902812 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] OWNER STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 320 PARK AVENUE STREET 2: 11TH & 12TH FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2125083600 MAIL ADDRESS: STREET 1: 320 PARK AVE STREET 2: 11TH AND 12TH FL CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: FLEMING ROBERT INC DATE OF NAME CHANGE: 19930429 3 1 FORM 3 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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 - -------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* Robert Fleming, Inc. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 320 Park Avenue, 11th Floor - -------------------------------------------------------------------------------- (Street) New York NY 10022 - -------------------------------------------------------------------------------- (City) (State) (Zip) - -------------------------------------------------------------------------------- 2. Date of Event Requiring Statement (Month/Day/Year) 3/30/99 - -------------------------------------------------------------------------------- 3. IRS Identification Number of Reporting Person, if an entity (Voluntary) - -------------------------------------------------------------------------------- 4. Issuer Name and Ticker or Trading Symbol Hudson Technologies, Inc. (HDSN) - -------------------------------------------------------------------------------- 5. Relationship of Reporting Person to Issuer (Check all applicable) |_| Director |X| 10% Owner |_| Officer (give title below) |_| Other (specify below) ________________________________________ - -------------------------------------------------------------------------------- 6. If Amendment, Date of Original (Month/Day/Year) - -------------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check applicable line) |_| Form filed by One Reporting Person |X| Form filed by More than One Reporting Person ================================================================================ - -------------------------------------------------------------------------------- Table I -- Non-Derivative Securities Beneficially Owned - --------------------------------------------------------------------------------
3. Ownership Form: 2. Amount of Securities Direct (D) or 1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership (Instr. 4) (Instr. 4) (Instr. 5) (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
* If the Form is filed by more than one Reporting Person see instruction 5(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Page 1 of 7 FORM 3 (continued) Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
- ------------------------------------------------------------------------------------------------------------------------------------ 5. Owner- 3. Title and Amount of Securities ship Underlying Derivative Security Form of 2. Date Exercisable (Instr. 4) Derivative and Expiration Date --------------------------------- 4. Conver- Security: (Month/Day/Year) Amount sion or Direct 7. Nature of ---------------------- or Exercise (D) or Indirect Date Expira- Number Price of Indirect Beneficial 1. Title of Derivative Exer- tion of Derivative (I) Ownership Security (Instr. 4) cisable Date Title Shares Security (Instr. 5) (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------------ Series A Convertible Immed. March 31, 2004 Common Stock 2,736,842 $2.375 per share (1) (1) Preferred Stock - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: (1) Fleming US Discovery Fund III, L.P. ("US Fund") owns 56,019 shares of Series A Convertible Preferred Stock (the "Series A Preferred Stock"), which are currently convertible into 2,358,695 shares of Common Stock. Fleming US Discovery Offshore Fund III, L.P. ("Offshore Fund") owns 8,981 shares of Series A Preferred Stock, which are currently convertible into 378,147 shares of Common Stock. Fleming US Discovery Partners, L.P. ("Fleming Partners") is the general partner of the US Fund and a general partner of the Offshore Fund, and thus may be deemed to have an indirect beneficial ownership in these securities. Fleming Partners disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. Fleming US Discovery, LLC ("Discovery") is the general partner of Fleming Partners, and thus may be deemed to have an indirect beneficial ownership in these securities. Discovery disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. Robert Fleming, Inc. ("RFI") is the investment adviser to the US Fund and the Offshore Fund, and thus may be deemed to have an indirect beneficial ownership in these securities. RFI disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. Robert Fleming Holdings, Ltd. ("RFH") is the parent of RFI, and thus may be deemed to have an indirect beneficial ownership in these securities. RFH disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. ROBERT FLEMING, INC. /s/ Arthur A. Levy 4/9/99 - --------------------------------------------- ----------------------- ** Signature of Reporting Person Date Arthur A. Levy, Director ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, See Instruction 6 for procedure. Page 2 of 7 Joint Filer Information Name: FLEMING US DISCOVERY FUND III, L.P. Address: 320 Park Avenue, 11th Floor New York, NY 10022 Designated Filer: Robert Fleming, Inc. Issuer & Ticker Symbol: Hudson Technologies, Inc. (HDSN) Date of Event Requiring Statement: 3/30/99 Signature: FLEMING US DISCOVERY FUND III, L.P. By: Fleming US Discovery Partners, L.P., its general partner By: Fleming US Discovery, LLC, its general partner By: /s/ Robert L. Burr ------------------------ Robert L. Burr, Director Page 3 of 7 Pages Joint Filer Information Name: FLEMING US DISCOVERY OFFSHORE FUND III, L.P. Address: c/o Bank of Bermuda, Ltd, 6 Front St Hamilton HM 11 Bermuda Designated Filer: Robert Fleming, Inc. Issuer & Ticker Symbol: Hudson Technologies, Inc. (HDSN) Date of Event Requiring Statement: 3/30/99 Signature: FLEMING US DISCOVERY OFFSHORE FUND III, L.P. By: Fleming US Discovery Partners, L.P., its general partner By: Fleming US Discovery, LLC, its general partner By: /s/ Robert L. Burr ------------------------ Robert L. Burr, Director Page 4 of 7 Pages Joint Filer Information Name: FLEMING US DISCOVERY PARTNERS, L.P. Address: 320 Park Avenue, 11th Floor New York, NY 10022 Designated Filer: Robert Fleming, Inc. Issuer & Ticker Symbol: Hudson Technologies, Inc. (HDSN) Date of Event Requiring Statement: 3/30/99 Signature: FLEMING US DISCOVERY PARTNERS, L.P. By: Fleming US Discovery, LLC, its general partner By: /s/ Robert L. Burr ------------------------ Robert L. Burr, Director Page 5 of 7 Pages Joint Filer Information Name: FLEMING US DISCOVERY, LLC Address: 320 Park Avenue, 11th Floor New York, NY 10022 Designated Filer: Robert Fleming, Inc. Issuer & Ticker Symbol: Hudson Technologies, Inc. (HDSN) Date of Event Requiring Statement: 3/30/99 Signature: FLEMING US DISCOVERY, LLC By: /s/ Robert L. Burr ------------------------ Robert L. Burr, Director Page 6 of 7 Pages Joint Filer Information Name: ROBERT FLEMING HOLDINGS, LTD. Address: 25 Copthall Avenue London EC2B 7PQ, England Designated Filer: Robert Fleming, Inc. Issuer & Ticker Symbol: Hudson Technologies, Inc. (HDSN) Date of Event Requiring Statement: 3/30/99 Signature: ROBERT FLEMING HOLDINGS, LTD. By: /s/ Arthur A. Levy -------------------------- Arthur A. Levy, Director Page 7 of 7 Pages -----END PRIVACY-ENHANCED MESSAGE-----