-----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, E7/AHZoLXYJgvTlt1FsPt3x3CVP3OiqYQYyRsFFZEHbJT4aUrCm7zRrqCnmUzetb Y/+UXuEFN9i4qfYptfY+FQ== 0001010541-03-000015.txt : 20031223 0001010541-03-000015.hdr.sgml : 20031223 20031223155958 ACCESSION NUMBER: 0001010541-03-000015 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031219 FILED AS OF DATE: 20031223 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: COLEMAN BRIAN F CENTRAL INDEX KEY: 0001250706 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-13412 FILM NUMBER: 031071112 BUSINESS ADDRESS: STREET 1: C/O HUDSON TECHNOLOGIES INC STREET 2: 275 NORTH MIDDLETOWN ROAD CITY: PEARL RIVER STATE: NY ZIP: 10967 BUSINESS PHONE: 8457356000 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HUDSON TECHNOLOGIES INC /NY CENTRAL INDEX KEY: 0000925528 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-MACHINERY, EQUIPMENT & SUPPLIES [5080] IRS NUMBER: 133641539 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 275 N MIDDLETOWN RD CITY: PEARL RIVER STATE: NY ZIP: 10965 BUSINESS PHONE: 8457356000 MAIL ADDRESS: STREET 1: 275 N MIDDLETOWN RD CITY: PEARL RIVER STATE: NY ZIP: 10965 FORMER COMPANY: FORMER CONFORMED NAME: REFRIGERANT RECLAMATION INDUSTRIES INC DATE OF NAME CHANGE: 19940617 4/A 1 primary_doc.xml PRIMARY DOCUMENT X0201 4/A 2003-12-19 2003-12-23 0 0000925528 HUDSON TECHNOLOGIES INC /NY HDSNC 0001250706 COLEMAN BRIAN F 41 MOUNTAINVIEW AVENUE PEARL RIVER NY 10965 0 1 0 0 President Common Stock 2003-12-19 4 P 0 21274 0.79 A 24274 D 10% Exchange Notes 0.79 2003-12-19 4 C 0 21274 D 2003-12-19 2003-12-19 Common Stock 21274 1926 D Convertible Note Warrants 0.87 2003-12-19 4 J 0 1926 A 2003-12-19 2008-12-19 Common Stock 1926 1926 D The Issuer conducted a public offering of equity securities prior to 12/20/2003 for gross proceeds of not less than $2 million (Equity Offering). In accordance with the terms of the 10% Exchange Notes, such Equity Offering triggered the conversion of the outstanding principal and interest on the 10% Exchange Notes into restricted shares of the Issuer's Common Stock at the then-current note conversion rate of $.79. As of 12/19/03, the outstanding principal and interest on the 10% Exchange Notes held by the Reporting Person was $16,803.38 and thus converted into 21,274 shares of restricted Common Stock. The Equity Offering triggered the obligation of the Issuer to issue common stock purchase warrants (Convertible Note Warrants) to holders of the 10% Exchange Notes, exercisable to purchase an amount of shares of the Issuers Common Stock equal to 10% of the number of shares of Common Stock into which the 10% Exchange Notes were convertible at the time of their issuance, for a period of 5 years from their date of issuance, at an exercise price equal to 110% of the lesser of the conversion rate of the 10% Exchange Notes as of the date of their issuance, or the conversion rate of the 10% Exchange Notes as of the date of the issuance of the Convertible Note Warrants. Thus, the Issuer has issued to the Reporting Person Convertible Note Warrants to purchase 1,926 shares of the Issuer's Common Stock at an exercise price equal to $.87 per share. Brian F. Coleman 2003-12-23 -----END PRIVACY-ENHANCED MESSAGE-----