Name
|
| |
Age
|
| |
Position
|
|
Richard D. Caruso | | |
58
|
| | Director | |
Dominic J. Monetta | | |
78
|
| | Director | |
Richard Parrillo | | |
67
|
| | Director | |
Eric A. Prouty | | |
50
|
| | Director | |
Kevin J. Zugibe | | |
56
|
| | Director, Chairman and Chief Executive Officer | |
Name
|
| |
Age
|
| |
Position
|
|
Vincent P. Abbatecola | | |
74
|
| | Director | |
Brian F. Coleman | | |
58
|
| | Director, President and Chief Operating Officer | |
Jill K. Frizzley | | |
44
|
| | Director | |
Otto C. Morch | | |
86
|
| | Director | |
Named Executive Officer
|
| |
Grant Date
|
| |
Number of
Options Granted |
| |
Estimated
Fair Value of Awards at Grant Date |
| ||||||
Kevin J. Zugibe
|
| |
12/19/2019
|
| | | | 975,000 | | | | | $ | 448,500 | | |
Brian F. Coleman
|
| |
12/19/2019
|
| | | | 945,000 | | | | | $ | 434,700 | | |
Nat Krishnamurti
|
| |
12/19/2019
|
| | | | 300,000 | | | | | $ | 138,000 | | |
Name and Principal Position
|
| |
Year
|
| |
Salary
($) |
| |
Stock
Awards ($) |
| |
Option
Awards ($)(1) |
| |
Non-Equity
Incentive Plan Compensation ($)(2) |
| |
All Other
Compensation ($) |
| |
Total
($) |
| ||||||||||||||||||
Kevin J. Zugibe,
Chairman, Chief Executive Officer(3) |
| |
2019
|
| | | $ | 532,800 | | | | | | — | | | | | $ | 448,500 | | | | | | — | | | | | $ | 5,400(4) | | | | | $ | 989,700 | | |
|
2018
|
| | | $ | 532,800 | | | | | | — | | | | | $ | 422,611 | | | | | | — | | | | | $ | 5,400(4) | | | | | $ | 960,811 | | | ||
Brian F. Coleman,
President, Chief Operating Officer(3) |
| |
2019
|
| | | $ | 346,300 | | | | | | — | | | | | $ | 434,700 | | | | | | — | | | | | $ | 86,410(5) | | | | | $ | 867,410 | | |
|
2018
|
| | | $ | 346,300 | | | | | | — | | | | | $ | 423,933 | | | | | | — | | | | | $ | 15,200(5) | | | | | $ | 785,433 | | | ||
Nat Krishnamurti,
Chief Financial Officer and Secretary |
| |
2019
|
| | | $ | 250,000 | | | | | | — | | | | | $ | 138,000 | | | | | | — | | | | | $ | 2,800(4) | | | | | $ | 390,800 | | |
|
2018
|
| | | $ | 250,000 | | | | | $ | 4,520(6) | | | | | $ | 206,193 | | | | | | — | | | | | $ | 2,800(4) | | | | | $ | 464,513 | | |
Name
|
| |
Number of
Securities Underlying Unexercised Options (#) Exercisable |
| |
Number of
Securities Underlying Unexercised Options (#) Unexercisable |
| |
Option
Exercise Price ($) |
| |
Option
Expiration Date |
| ||||||||||||
Kevin J. Zugibe
|
| | | | 600,000 | | | | | | 375,000(1) | | | | | $ | 0.75 | | | | | | 12/19/2029 | | |
| | | | | 907,562 | | | | | | — | | | | | $ | 1.09 | | | | | | 11/30/2021 | | |
Brian F. Coleman
|
| | | | 570,000 | | | | | | 375,000(1) | | | | | $ | 0.75 | | | | | | 12/19/2029 | | |
| | | | | 910,400 | | | | | | — | | | | | $ | 1.09 | | | | | | 11/30/2021 | | |
Nat Krishnamurti
|
| | | | 175,000 | | | | | | 125,000(1) | | | | | $ | 0.75 | | | | | | 12/19/2029 | | |
| | | | | 442,800 | | | | | | — | | | | | $ | 1.09 | | | | | | 11/30/2021 | | |
Name
|
| |
Fees
earned or paid in cash |
| |
Stock
Awards(1) |
| |
Option
Awards(2) |
| |
All Other
Compensation |
| |
Total
|
| |||||||||||||||
Vincent P. Abbatecola(3)
|
| | | $ | 46,000 | | | | | | — | | | | | $ | 37,600 | | | | | | — | | | | | $ | 83,600 | | |
Richard D. Caruso(3)(4)
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | $ | 0 | | |
Jill K. Frizzley(3)(4)
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | $ | 0 | | |
Dominic J. Monetta(3)
|
| | | $ | 46,000 | | | | | $ | 10,000 | | | | | $ | 27,600 | | | | | | — | | | | | $ | 83,600 | | |
Otto C. Morch(3)
|
| | | $ | 46,000 | | | | | | — | | | | | $ | 37,600 | | | | | | — | | | | | $ | 83,600 | | |
Richard Parrillo(3)
|
| | | $ | 30,000 | | | | | | — | | | | | $ | 48,600 | | | | | | — | | | | | $ | 78,600 | | |
Eric A. Prouty(3)
|
| | | $ | 31,000 | | | | | | — | | | | | $ | 47,600 | | | | | | — | | | | | $ | 78,600 | | |
Name of Beneficial Owner
|
| |
Amount and
Nature of Beneficial Ownership(1) |
| |
Percent of
Class |
| ||||||
Kevin J. Zugibe
|
| | | | 5,206,235(2) | | | | | | 11.8% | | |
Brian F. Coleman
|
| | | | 2,069,169(3) | | | | | | 4.7% | | |
Nat Krishnamurti
|
| | | | 663,832(4) | | | | | | 1.5% | | |
Vincent P. Abbatecola
|
| | | | 344,490(5) | | | | | | * | | |
Richard D. Caruso
|
| | | | 0 | | | | | | — | | |
Jill K. Frizzley
|
| | | | 0 | | | | | | — | | |
Dominic J. Monetta
|
| | | | 288,371(6) | | | | | | * | | |
Otto C. Morch
|
| | | | 257,929(7) | | | | | | * | | |
Richard Parrillo
|
| | | | 322,415(8) | | | | |
|
*
|
| |
Eric A. Prouty
|
| | | | 262,585(9) | | | | |
|
*
|
| |
ArrowMark Colorado Holdings LLC
|
| | | | 4,286,631(10) | | | | | | 10.1% | | |
Cooper Creek Partners Management LLC
|
| | | | 4,161,573(11) | | | | | | 9.8% | | |
Ernest Lazarus
|
| | | | 3,959,915(12) | | | | | | 9.3% | | |
Calm Waters Partnership
|
| | | | 3,404,573(13) | | | | | | 8.0% | | |
All directors and executive officers as a group (Eleven Persons)
|
| | | | 9,415,026(14) | | | | | | 19.8% | | |
Plan Category
|
| |
Number of securities to be
issued upon exercise of outstanding options, warrants and rights (a) |
| |
Weighted-average exercise
price of outstanding options, warrants and rights (b) |
| |
Number of securities remaining
available for future issuance under equity compensation plans (excluding securities reflected in column (a)) (c) |
| |||||||||
Equity compensation plans proved by security
holders |
| | | | 7,042,377 | | | | | $ | 1.01 | | | | | | 77,400 | | |
Equity compensation plans not approved by security holders
|
| | | | 0 | | | | | | — | | | | | | 0 | | |
Total
|
| | | | 7,042,377 | | | | | $ | 1.01 | | | | | | 77,400 | | |
| | |
Number of
Shares Before Reverse Stock Split |
| |
Reverse
Stock Split Ratio of 1-for-2 |
| |
Reverse
Stock Split Ratio of 1-for-3 |
| |
Reverse
Stock Split Ratio of 1-for-5 |
| |
Reverse
Stock Split Ratio of 1-for-10 |
| |||||||||||||||
Number of Shares of Common Stock Issued and Outstanding
|
| | | | 42,628,560 | | | | | | 21,314,280 | | | | | | 14,209,520 | | | | | | 8,525,712 | | | | | | 4,262,856 | | |
Number of Shares of Common Stock Authorized under our Plans
|
| | | | 7,000,000 | | | | | | 3,500,000 | | | | | | 2,333,334 | | | | | | 1,400,000 | | | | | | 700,000 | | |
| | | | HUDSON TECHNOLOGIES, INC. | |
| | | |
By:
Kevin J. Zugibe
Chairman of the Board and Chief Executive Officer |
|
|
01) Richard D. Caruso
02) Dominic J. Monetta 03) Richard Parrillo 04) Eric A. Prouty 05) Kevin J. Zugibe |
| |
☐
FOR all nominees listed to the left
(except as marked to the contrary below).
|
|
| | | |
☐
WITHHOLD AUTHORITY
to vote for all nominees listed to the left.
|
|
|
☐ FOR
|
| | ☐ AGAINST | | | ☐ ABSTAIN | |
|
☐ FOR
|
| | ☐ AGAINST | | | ☐ ABSTAIN | |
|
☐ FOR
|
| | ☐ AGAINST | | | ☐ ABSTAIN | |
|
☐ FOR
|
| | ☐ AGAINST | | | ☐ ABSTAIN | |
|
DATED: , 2020
|
| | | |
| | | | Please sign exactly as name appears hereon. When shares are held by joint tenants, both should sign. When signing as attorney, executor, administrator, trustee or guardian, please give full title as such. If a corporation, please sign in full corporate name by President or other authorized officer. If a partnership, please sign in partnership name by authorized person. |
|
| | | |
Signature
|
|
| | | |
Signature if held jointly
|
|