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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 1/13/23 Hudson Technologies Inc./NY S-3 5:831K Toppan Merrill/FA |
Document/Exhibit Description Pages Size 1: S-3 Registration Statement - Securities for a HTML 283K Transaction 2: EX-4.12 Instrument Defining the Rights of Security Holders HTML 481K 3: EX-5.1 Opinion of Counsel re: Legality HTML 26K 4: EX-23.1 Consent of Expert or Counsel HTML 5K 5: EX-FILING FEES Filing Fees HTML 38K
tm231653-1_s3 - none - 3.9843939s |
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New York
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13-3641539
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(State or other jurisdiction
of incorporation or organization) |
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(IRS Employer
Identification No.) |
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| Large accelerated filer | | | ☐ | | | Accelerated filer | | | ☒ | |
| Non-accelerated filer | | | ☐ | | | Smaller reporting company | | |
☒
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| | | | | | | Emerging growth company | | | ☐ | |
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SEC registration fees
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| | | $ | 8,265 | | |
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NASDAQ Capital Market Listing Fee
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| | | $ | * | | |
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Legal fees and expenses
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| | | $ | * | | |
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Accounting fees and expenses
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| | | $ | * | | |
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Printing fees and expenses
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| | | $ | * | | |
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Transfer agent and registrar fees and expenses
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| | | $ | * | | |
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Trustee’s fees and expenses
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| | | $ | * | | |
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Miscellaneous expenses
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| | | $ | * | | |
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Total
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| | | $ | * | | |
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Number
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Exhibit Title
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| 1.1* | | | Form of Underwriting Agreement | |
| 4.1 | | | Certificate of Incorporation and Amendment(1) | |
| 4.2 | | | Amendment to Certificate of Incorporation, dated July 20, 1994(1) | |
| 4.3 | | | Amendment to Certificate of Incorporation, dated October 26, 1994(1) | |
| 4.4 | | | Certificate of Amendment of the Certificate of Incorporation dated March 16, 1999(2) | |
| 4.5 | | | Certificate of Correction of the Certificate of Amendment dated March 25, 1999(2) | |
| 4.6 | | | Certificate of Amendment of the Certificate of Incorporation dated March 29, 1999(2) | |
| 4.7 | | | Certificate of Amendment of the Certificate of Incorporation dated February 16, 2001(3) | |
| 4.8 | | | Certificate of Amendment of the Certificate of Incorporation dated March 20, 2002(4) | |
| 4.9 | | | Amendment to Certificate of Incorporation dated January 3, 2003(5) | |
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Number
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Exhibit Title
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| 4.10 | | | Certificate of Amendment of the Certificate of Incorporation dated September 15, 2015(6) | |
| 4.11 | | | Amended and Restated By-Laws adopted March 2, 2022(7) | |
| 4.12 | | | | |
| 4.13* | | | Form of Warrant Agreement | |
| 4.14* | | | Form of Unit Agreement | |
| 5.1 | | | | |
| 23.1 | | | | |
| 23.2 | | | Consent of Wiggin and Dana LLP (included in Exhibit 5.1) | |
| 24.1 | | | | |
| 25.1** | | | | |
| 107 | | | |
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Name
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Title
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Date
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/s/ Brian F. Coleman
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| | Chairman of the Board and Chief Executive Officer (Principal Executive Officer) | | | January 13, 2023 | |
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/s/ Nat Krishnamurti
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| | Chief Financial Officer (Principal Financial and Accounting Officer) | | | January 13, 2023 | |
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| | Director | | | January 13, 2023 | |
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/s/ Nicole Bulgarino
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| | Director | | | January 13, 2023 | |
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Name
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Title
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Date
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| | Director | | | January 13, 2023 | |
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/s/ Loan N. Mansy
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| | Director | | | January 13, 2023 | |
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/s/ Richard Parrillo
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| | Director | | | January 13, 2023 | |
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/s/ Eric A. Prouty
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| | Director | | | January 13, 2023 | |
This ‘S-3’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 1/13/23 | |||
1/5/23 | ||||
11/8/22 | 10-Q, 4 | |||
8/8/22 | 10-Q, 4 | |||
5/10/22 | 10-Q | |||
12/31/21 | 10-K, 5, NT 10-K | |||
12/31/20 | 10-K | |||
10/26/94 | ||||
7/20/94 | ||||
List all Filings |