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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 9/23/19 Hudson Technologies Inc/NY 8-K:5,9 9/20/19 4:317K Toppan Merrill/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 16K 2: EX-10.1 Material Contract HTML 71K 3: EX-10.2 Material Contract HTML 66K 4: EX-10.3 Material Contract HTML 66K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
| Date of report (Date of earliest event reported) | September 20, 2019 |
Hudson Technologies, Inc.
(Exact Name of Registrant as Specified in Charter)
New York
(State or Other Jurisdiction of Incorporation)
| 1-13412 | 13-3641539 | |
| (Commission File Number) | (IRS Employer Identification No.) |
| PO Box 1541, 1 Blue Hill Plaza, Pearl River, New York | 10965 | |
| (Address of Principal Executive Offices) | (Zip Code) |
(845) 735-6000
(Registrant's Telephone Number, Including Area Code)
Not Applicable
(Former Name or Former Address, if Changed Since Last Report)
Securities registered pursuant to Section 12(b) of the Act:
| Title of each class | Trading Symbols(s) | Name of each exchange on which registered | ||
| Common Stock, $0.01 par value | HDSN | Nasdaq Capital Market |
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ¨
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨
C:
Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
On September 20, 2019, Hudson Technologies, Inc. (the “Company”) entered into amended and restated employment agreements with: (i) Kevin J. Zugibe, its Chairman of the Board and Chief Executive Officer; (ii) Brian F. Coleman, its President and Chief Operating Officer; and (iii) Nat Krishnamurti, its Vice President, Chief Financial Officer and Secretary.
These amended and restated agreements amended the prior agreements with the indicated executives to update the agreements with respect to certain recent regulatory developments, including the Defend Trade Secrets Act and related whistleblower provisions, and other technical and clarifying amendments. The amended and restated agreements did not materially amend the economic or other fundamental terms of the existing agreements.
The description of the foregoing agreements does not purport to be complete and is qualified in its entirety by reference to the full text of the agreements which are filed as Exhibit 10.1, Exhibit 10.2 and Exhibit 10.3 to this Report.
| Item 9.01 | Financial Statements and Exhibits |
| Exhibit 10.1 | Third Amended and Restated Employment Agreement dated as of September 20, 2019 between the Registrant and Kevin J. Zugibe |
| Exhibit 10.2 | Second Amended and Restated Agreement dated as of September 20, 2019 between the Registrant and Brian F. Coleman |
| Exhibit 10.3 | Amended and Restated Agreement dated as of September 20, 2019 between the Registrant and Nat Krishnamurti |
C:
C: 2
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Date: September 23, 2019
| HUDSON TECHNOLOGIES, INC. | |||
| By: | /s/ Nat Krishnamurti | ||
| Name: | Nat Krishnamurti | ||
| Title: | Chief Financial Officer & Secretary | ||
C:
3
| This ‘8-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 9/23/19 | None on these Dates | ||
| For Period end: | 9/20/19 | |||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 3/14/24 Hudson Technologies Inc./NY 10-K 12/31/23 80:7.9M Toppan Merrill/FA2 3/14/23 Hudson Technologies Inc./NY 10-K 12/31/22 77:7.2M Toppan Merrill/FA2 3/24/22 Hudson Technologies Inc./NY 10-K 12/31/21 83:7.8M Toppan Merrill/FA2 3/12/21 Hudson Technologies Inc./NY 10-K 12/31/20 80:6.4M Toppan Merrill/FA |
