-----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, Mm9o+F/GIh9K9SYMN2BkLqGtqR3EzNMHJf+zqGXkr8DVwpAzxXjP8UKCzU0gniHF 7Ji/vq1+YiSoLlIxW7sI5w== 0001010541-10-000011.txt : 20100202 0001010541-10-000011.hdr.sgml : 20100202 20100202163143 ACCESSION NUMBER: 0001010541-10-000011 CONFORMED SUBMISSION TYPE: S-8 PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20100202 DATE AS OF CHANGE: 20100202 EFFECTIVENESS DATE: 20100202 FILER: 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 FILING VALUES: FORM TYPE: S-8 SEC ACT: 1933 Act SEC FILE NUMBER: 333-164650 FILM NUMBER: 10567326 BUSINESS ADDRESS: STREET 1: PO BOX 1541 STREET 2: ONE BLUE HILL PLAZA, 14TH FLOOR CITY: PEARL RIVER STATE: NY ZIP: 10965 BUSINESS PHONE: 8457356000 MAIL ADDRESS: STREET 1: PO BOX 1541 STREET 2: ONE BLUE HILL PLAZA, 14TH FLOOR CITY: PEARL RIVER STATE: NY ZIP: 10965 FORMER COMPANY: FORMER CONFORMED NAME: REFRIGERANT RECLAMATION INDUSTRIES INC DATE OF NAME CHANGE: 19940617 S-8 1 finals802022010.htm S-8 S-8 2008 Stock Incentive Plan

As filed with the Securities and Exchange Commission on February 2, 2010.

Registration No. 333-

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

______________

FORM S-8

REGISTRATION STATEMENT

UNDER

THE SECURITIES ACT OF 1933

______________

HUDSON TECHNOLOGIES, INC.

(Exact name of registrant as specified in its charter)

 

 

 

New York

 

13-3641539

(State or other jurisdiction of incorporation or organization)

 

(I.R.S. Employer Identification No.)

 

 

 

PO Box 1541, One Blue Hill Plaza, Pearl River, New York

 

10965

(Address of principal executive offices)

 

(Zip Code)

 

 

 

2008 Stock Incentive Plan

(Full title of the plan)

 

 

 

Kevin J. Zugibe, Chief Executive Officer

Hudson Technologies, Inc.

PO Box 1541, One Blue Hill Plaza,

Pearl River, NY 10965

(Name and address of agent for service)

 

 

 

(845) 735-6000

(Telephone number, including area code, of agent for service)

Copy to:

Ethan Seer, Esq.

Blank Rome LLP

405 Lexington Avenue

New York, New York 10174

 

Indicate by check mark whether the registrant is large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of "large accelerated filer," "accelerated filer" and "smaller reporting company" in Rule 12b-2 of the Exchange Act.

Large accelerated filer [  ]

 

Accelerated filer [  ]

Non-accelerated filer [  ] (Do not check if a smaller reporting company)

 

Smaller reporting company [X]

 

CALCULATION OF REGISTRATION FEE

Title of Securities
to be Registered

Amount to be Registered

Proposed Maximum Aggregate Offering
Price Per Share

Proposed Maximum Aggregate
Offering Price

Amount of Registration Fee

common stock $0.01 per value per share

3,000,000 shs (1)(2)

$2.23 (3)

$6,690,000 (3)

$477.00

 

(1) Represents shares issuable under the registrant's 2008 Stock Incentive Plan that was approved by the registrant's shareholders in August 2008.

(2) In addition, pursuant to Rule 416 under the Securities Act of 1933, this registration statement also registers an indeterminate number of shares of the registrant's common stock which may be issued pursuant to the anti-dilution provisions of the registrant's 2008 Stock Incentive Plan.

(3) Calculated solely for the purpose of determining the registration fee pursuant to Rule 457 under the Securities Act of 1933 based upon the average of the high and low sales prices of the registrant's common stock as reported on Nasdaq on January 26, 2010.

PART I

INFORMATION REQUIRED IN THE SECTION 10(a) PROSPECTUS

Item 1. Plan Information.*

Item 2. Registrant Information and Employee

Plan Annual Information.*_____

* Information required by Part I to be contained in the Section 10(a) prospectus is omitted from this Registration Statement in accordance with Rule 428 under the Securities Act of 1933 and the Note to Part I of Form S-8.

PART II

INFORMATION REQUIRED IN THE REGISTRATION STATEMENT

Item 3. Incorporation of Documents by Reference.

The following documents previously filed by the registrant with the Securities and Exchange Commission (the "SEC") (SEC Exchange Act File no 001-13412) are incorporated by reference in this Registration Statement:

1. Annual Report on Form 10-K for the fiscal year ended December 31, 2008.

2. Quarterly Report on Form 10-Q for the quarter ended March 31, 2009.

3. Quarterly Report on Form 10-Q for the quarter ended June 30, 2009.

4. Quarterly Report on Form 10-Q for the quarter ended September 30, 2009.

5. Current Reports on Form 8-K filed with the SEC on March 2, 2009, March 27, 2009, July 21, 2009, August 3, 2009, August 18, 2009, and October 6, 2009.

6. The description of the registrant's common stock contained in its Registration Statement on Form 8-A together with any amendments thereto.

7. All documents subsequently filed by the registrant pursuant to Sections 13(a), 13(c), 14 and 15(d) of the Securities Exchange Act of 1934, prior to the filing of a post-effective amendment which indicates that all securities offered have been sold or which deregisters all securities then remaining unsold, shall be deemed to be incorporated by reference in this Registration Statement and to be a part hereof from the respective date of filing of such documents.

Any reference herein shall be deemed to be modified or superseded for purposes of this registration statement to the extent that a statement contained herein or in any other subsequently filed document which also is incorporated or deemed to be incorporated by reference herein modifies or supersedes such statement. Any such statement so modified or superseded shall not be deemed, except as so modified or superseded, to constitute a part of this registration statement.

Item 4. Description of Securities.

Not applicable.

Item 5. Interests of Named Experts and Counsel.

Not applicable

Item 6. Indemnification of Directors and Officers.

The New York Business Corporation Law (Sections 721 through 726) permits a corporation to indemnify any of its directors and officers for acts performed in their capacities, subject to certain conditions. Paragraph 3 of the Certificate of Incorporation of the registrant provides that a director shall not be liable to the registrant or its shareholders for damages for any breach of duty in such capacity except for liability if a judgment or other final adjudication adverse to the director establishes that his or her acts or omissions were in bad faith or involved intentional misconduct or a knowing violation of law or that the director personally gained a financial profit or other advantage to which he or she was not legally entitled or that the director's acts violated Section 719 of the New York Business Corporation Law. Paragraph 17 of Article III of the Registrant's By-laws provide for indemnification of directors and officers to the fullest extent permitted by the New York Business Corporation Law .

Item 7. Exemption from Registration Claimed.

Not Applicable.

Item 8. Exhibits.

Exhibit No.

Description

5

Opinion of Blank Rome LLP

23.1

Consent of BDO Seidman, LLP

23.2

Consent of Blank Rome LLP (included in Exhibit 5)

99.1

Hudson Technologies, Inc. 2008 Stock Incentive Plan (1)

_________________

(1) Incorporated by reference to Appendix I to the registrant's revised definitive proxy statement on Schedule 14A filed with the SEC on July 30, 2008.

Item 9. Undertakings.

(a) The undersigned registrant hereby undertakes:

(1)To file, during any period in which offers or sales are being made, a post-effective amendment to this registration statement:

(i) To include any prospectus required by Section 10(a)(3) of the Securities Act of 1933;

(ii) To reflect in the prospectus any facts or events arising after the effective date of this registration statement (or the most recent post-effective amendments thereto) which, individually or in the aggregate, represent a fundamental change in the information set forth in the registration statement. Notwithstanding the foregoing, any increase or decrease in volume of securities offered (if the total dollar value of securities offered would not exceed that which was registered) and any deviation from the low or high and of the estimated maximum offering range may be reflected in the form of prospectus filed with the SEC pursuant to Rule 424(b) if, in the aggregate, the changes in volume and prices represent no more than 20 percent change in the maximum aggregate offering price set forth in the "Calculation of Registration Fee" table in the effective registration statement; and

(iii) To include any material information with respect to the plan of distribution not previously disclosed in this registration statement or any material change to such information in this registration statement;

provided, however, that paragraphs (a)(1)(i) and (a)(1)(ii) do not apply if the information required to be included in a post-effective amendment by those paragraphs is contained in periodic reports filed with or furnished to the SEC by the registrant pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 that are incorporated by reference in this registration statement.

(2) That, for the purpose of determining any liability under the Securities Act of 1933, each such post-effective amendment shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.

(3) To remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the termination of the offering.

(b) The undersigned registrant hereby undertakes that, for purposes of determining any liability under the Securities Act of 1933, each filing of the registrant's annual report pursuant to Section 13(a) or Section 15(d) of the Securities Exchange Act of 1934 (and where applicable, each filing of an employee benefit plan's annual report pursuant to Section 15(d) of the Securities Exchange Act of 1934) that is incorporated by reference in this registration statement shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.

(c) Insofar as indemnification for liabilities arising under the Securities Act of 1933 may be permitted to directors, officers and controlling persons of the registrant pursuant to the foregoing provisions, or otherwise, the registrant has been advised that in the opinion of the SE C such indemnification is against public policy as expressed in the Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the registrant of expenses incurred or paid by a director, officer or controlling person of the registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in su ch Act and will be governed by the final adjudication of such issue.

SIGNATURES

Pursuant to the requirements of the Securities Act of 1933, the registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in City of Pearl River, State of New York, on February 2, 2010.

Hudson Technologies, Inc.

 

 

By:

/s/ Kevin J. Zugibe

 

Kevin J. Zugibe, Chief Executive Officer

 

Pursuant to the requirements of the Securities Act of 1933, this Registration Statement has been signed by the following persons in the capacities and on the dates indicated.

Signature

Title

Date

/s/ Kevin J. Zugibe
Kevin J. Zugibe

Chairman of the Board, Chief Executive Officer and a Director (Principal Executive Officer)

February 2, 2010

/s/ James R. Buscemi
James R. Buscemi

Chief Financial Officer (Principal Financial and Accounting Officer)

February 2, 2010

/s/ Vincent P. Abbatecola   
Vincent P. Abbatecola

Director

February 2, 2010

/s/ Dominic J. Monetta
Dominic J. Monetta

Director

February 2, 2010

/s/ Otto C. Morch
Otto C. Morch

Director

February 2, 2010

/s/ Brian F. Coleman
Brian F. Coleman

Director

February 2, 2010

Exhibit Index

 

Exhibit No.

 

Description

5

 

Opinion of Blank Rome LLP

23.1

 

Consent of BDO Seidman, LLP

23.2

 

Consent of Blank Rome LLP (included in Exhibit 5)

99.1

 

Hudson Technologies, Inc. 2008 Stock Incentive Plan (1)

__________________

(1) Incorporated by reference to Appendix I to the registrant's revised definitive proxy statement on Schedule 14A filed with the SEC on July 30, 2008.

 

EX-5 2 finals802022010-ex5.htm EXHIBIT 5 Exhibit 5

Exhibit 5

[LETTERHEAD OF BLANK ROME LLP]

February 1, 2010

Hudson Technologies, Inc.
P.O. Box 1541
One Blue Hill Plaza
Pearl River, NY 10965

Re: Hudson Technologies. - Registration Statement on Form S-8

Gentlemen:

You have requested our opinion with respect to the offer and sale by you, Hudson Technologies, Inc., a New York corporation (the "Company"), pursuant to a Registration Statement (the "Registration Statement") on Form S-8 under the Securities Act of 1933, as amended (the "Act"), of up to 3,000,000 shares (the "Shares") of common stock, $.01 par value per share, of the Company, issuable upon exercise of stock options or upon the grant of other stock-based awards (collectively, the "Plan Awards") granted and eligible for grant under the Company's 2008 Stock Incentive Plan (the "Plan").

We have examined originals or copies certified or otherwise identified to our satisfaction of such documents and corporate and public records as we deem necessary as a basis for the opinion hereinafter expressed. With respect to such examination, we have assumed the genuineness of all signatures appearing on all documents presented to us as originals, and the conformity to the originals of all documents presented to us as conformed or reproduced copies. Where factual matters relevant to such opinion were not independently established, we have relied upon certificates of executive officers and responsible employees and agents of the Company.

Based upon the foregoing, it is our opinion that the Shares have been duly and validly authorized and when sold, paid for and issued as contemplated by the Registration Statement, the Plan Awards and the Plan, will be duly and validly issued and fully paid and nonassessable.

We hereby consent to the use of this opinion as Exhibit 5 to the Registration Statement, and to the use of our name as your counsel under "Legal Matters" in the Prospectus constituting a part of the Registration Statement. In giving this consent, we do not thereby concede that we come within the categories of persons whose consent is required by the Act or the General Rules and Regulations promulgated thereunder.

 

Very truly yours,

/s/ Blank Rome LLP


BLANK ROME LLP

 

 

 

EX-23.1 3 finals802022010-ex231.htm EXHIBIT 23.1 Exhibit 23

Exhibit 23.1

[LETTERHEAD OF BDO SEIDMAN, LLP]

Consent of Independent Registered Public Accounting Firm

 

Hudson Technologies, Inc.

Pearl River, New York

We hereby consent to the incorporation by reference in this Registration Statement of our report dated March 4, 2009, relating to the consolidated financial statements of Hudson Technologies, Inc. appearing in the Company's Annual Report on Form 10-K for the year ended December 31, 2008.

 

 

BDO Seidman, LLP

Valhalla, New York

February 2, 2010

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