-----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, A+mdJ32K4IDNbvLr49kx82YDdPIZF9ceSCkOjmvfvaUBRiHx0V5jmY3Mv9Kmh6nZ Lv7+3rj8R4AhocHnf4J0fw== 0001010541-03-000017.txt : 20031223 0001010541-03-000017.hdr.sgml : 20031223 20031223184625 ACCESSION NUMBER: 0001010541-03-000017 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031219 FILED AS OF DATE: 20031223 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MANDRACCHIA STEPHEN P CENTRAL INDEX KEY: 0001010541 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13412 FILM NUMBER: 031072346 BUSINESS ADDRESS: STREET 1: C/O HUDSON TECHNOLOGIES INC STREET 2: 275 NORTH MIDDLETOWN RD CITY: PEARL RIVER STATE: NY ZIP: 10967 BUSINESS PHONE: 8457356000 MAIL ADDRESS: STREET 1: 25 TORNE VALLEY ROAD CITY: HILLBURN STATE: NY ZIP: 10931 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 1 primary_doc.xml PRIMARY DOCUMENT X0201 4 2003-12-19 0 0000925528 HUDSON TECHNOLOGIES INC /NY HDSNC 0001010541 MANDRACCHIA STEPHEN P 2 HERITAGE COURT WARWICK NY 10990 0 1 0 0 Vice President Common Stock 2003-12-19 4 P 0 70913 0.79 A 340455 D Common Stock 2003-12-19 4 P 0 7714 1.1 A 340455 I footnote 2 Common Stock 2003-12-19 4 P 0 23000 1.1 A 340455 I Owned by Spouse 10% Exchange Notes 0.79 2003-12-19 4 C 0 70913 D 2003-12-19 2003-12-19 Common Stock 70913 6420 D Convertible Note Warrants 0.87 2003-12-19 4 J 0 6420 A 2003-12-19 2008-12-19 Common Stock 6420 6420 D The Issuer conducted a public offering of equity securities prior to 12/20/03 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 $56,021.29 and thus converted into 70,913 shares of restricted Common Stock. Reporting Person's spouse is one of seven equal shareholders of a New York corporation known as Catherine & Cathryn, Ltd., which purchased 54,000. The number of shares reported (7,714) are equal to 1/7 of the shares purchased by the corporation, representing the Reporting Person's spouse's pro-rata interest (1/7) in the corporation. Reporting Person disclaims beneficial interest in 46,286 shares purchased by the corporation. 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 Issuer's 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 6,420 shares of the Issuer's Common Stock at an exercise price equal to $.87 per share. Stephen P. Mandracchia 2003-12-19 -----END PRIVACY-ENHANCED MESSAGE-----