FCEL

SEC source: 0001567619-20-016022 · doc1.xml · derivative · entry 1

Bishop Michael S. · CIK 0001523478 · EVP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,723

Underlying: Common Stock · 18,723 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of common stock upon vesting of the Restricted Stock Unit.

F2 · derivative.exercise_date: On August 24, 2020, the reporting person was granted restricted stock units, which vest 1/3 on each of the first, second and third anniversaries of the date of grant, subject to continued employment.

F2 · derivative.expiration_date: On August 24, 2020, the reporting person was granted restricted stock units, which vest 1/3 on each of the first, second and third anniversaries of the date of grant, subject to continued employment.

SEC source: 0001567619-20-016020 · doc1.xml · derivative · entry 3

Lisowski Michael · CIK 0001779369 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,952

Underlying: Common Stock · 32,952 shares

Expires not disclosed

F4 · derivative.exercise_date: On August 24, 2020, the reporting person was granted performance shares which will be earned based on performance over the three-year performance period ending October 31, 2022, subject to continued employment until the third anniversary of the grant date. The performance goal is an increase in the Company's stock price during the performance period. The maximum number of performance shares that can be earned based on performance is two times the target number reported in the table above.

F4 · derivative.expiration_date: On August 24, 2020, the reporting person was granted performance shares which will be earned based on performance over the three-year performance period ending October 31, 2022, subject to continued employment until the third anniversary of the grant date. The performance goal is an increase in the Company's stock price during the performance period. The maximum number of performance shares that can be earned based on performance is two times the target number reported in the table above.

SEC source: 0001567619-20-016020 · doc1.xml · derivative · entry 2

Lisowski Michael · CIK 0001779369 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,952

Underlying: Common Stock · 32,952 shares

Expires not disclosed

F3 · derivative.exercise_date: On August 24, 2020, the reporting person was granted performance shares which will be earned based on performance over the three-year performance period ending October 31, 2022, subject to continued employment until the third anniversary of the grant date. The performance goal is the TSR of the Company relative to the TSR of the Russell 2000 during the performance period. The maximum number of performance shares that can be earned based on performance is two times the target number reported in the table above.

F3 · derivative.expiration_date: On August 24, 2020, the reporting person was granted performance shares which will be earned based on performance over the three-year performance period ending October 31, 2022, subject to continued employment until the third anniversary of the grant date. The performance goal is the TSR of the Company relative to the TSR of the Russell 2000 during the performance period. The maximum number of performance shares that can be earned based on performance is two times the target number reported in the table above.

SEC source: 0001567619-20-016020 · doc1.xml · derivative · entry 1

Lisowski Michael · CIK 0001779369 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,477

Underlying: Common Stock · 16,477 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of common stock upon vesting of the Restricted Stock Unit.

F2 · derivative.exercise_date: On August 24, 2020, the reporting person was granted restricted stock units, which vest 1/3 on each of the first, second and third anniversaries of the date of grant, subject to continued employment.

F2 · derivative.expiration_date: On August 24, 2020, the reporting person was granted restricted stock units, which vest 1/3 on each of the first, second and third anniversaries of the date of grant, subject to continued employment.

SEC source: 0001567619-20-016018 · doc1.xml · derivative · entry 3

Arasimowicz Jennifer D · CIK 0001702985 · EVP, Gen. Counsel, CAO, Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,199

Underlying: Common Stock · 35,199 shares

Expires not disclosed

F4 · derivative.exercise_date: On August 24, 2020, the reporting person was granted performance shares which will be earned based on performance over the three-year performance period ending October 31, 2022, subject to continued employment until the third anniversary of the grant date. The performance goal is an increase in the Company's stock price during the performance period. The maximum number of performance shares that can be earned based on performance is two times the target number reported in the table above.

F4 · derivative.expiration_date: On August 24, 2020, the reporting person was granted performance shares which will be earned based on performance over the three-year performance period ending October 31, 2022, subject to continued employment until the third anniversary of the grant date. The performance goal is an increase in the Company's stock price during the performance period. The maximum number of performance shares that can be earned based on performance is two times the target number reported in the table above.

SEC source: 0001567619-20-016018 · doc1.xml · derivative · entry 2

Arasimowicz Jennifer D · CIK 0001702985 · EVP, Gen. Counsel, CAO, Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,199

Underlying: Common Stock · 35,199 shares

Expires not disclosed

F3 · derivative.exercise_date: On August 24, 2020, the reporting person was granted performance shares which will be earned based on performance over the three-year performance period ending October 31, 2022, subject to continued employment until the third anniversary of the grant date. The performance goal is the TSR of the Company relative to the TSR of the Russell 2000 during the performance period. The maximum number of performance shares that can be earned based on performance is two times the target number reported in the table above.

F3 · derivative.expiration_date: On August 24, 2020, the reporting person was granted performance shares which will be earned based on performance over the three-year performance period ending October 31, 2022, subject to continued employment until the third anniversary of the grant date. The performance goal is the TSR of the Company relative to the TSR of the Russell 2000 during the performance period. The maximum number of performance shares that can be earned based on performance is two times the target number reported in the table above.

SEC source: 0001567619-20-016018 · doc1.xml · derivative · entry 1

Arasimowicz Jennifer D · CIK 0001702985 · EVP, Gen. Counsel, CAO, Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,600

Underlying: Common Stock · 17,600 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of common stock upon vesting of the Restricted Stock Unit.

F2 · derivative.exercise_date: On August 24, 2020, the reporting person was granted restricted stock units, which vest 1/3 on each of the first, second and third anniversaries of the date of grant, subject to continued employment.

F2 · derivative.expiration_date: On August 24, 2020, the reporting person was granted restricted stock units, which vest 1/3 on each of the first, second and third anniversaries of the date of grant, subject to continued employment.

SEC source: 0001567619-20-018011 · doc1.xml · derivative · entry 1

Groobey John Christopher · CIK 0001795611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,993

Underlying: Common Stock · 8,993 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock or, at the election of the Compensation Committee, the cash value thereof.

F2 · derivative.exercise_date: These RSUs (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2021, and (ii) are to be settled in cash or in shares of the Company's common stock, at the discretion of the Compensation Committee, as the administrator under the Plan.

F2 · derivative.expiration_date: These RSUs (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2021, and (ii) are to be settled in cash or in shares of the Company's common stock, at the discretion of the Compensation Committee, as the administrator under the Plan.

SEC source: 0001567619-20-018007 · doc1.xml · derivative · entry 1

England James Herbert · CIK 0001437823 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,993

Underlying: Common Stock · 8,993 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock or, at the election of the Compensation Committee, the cash value thereof.

F2 · derivative.exercise_date: These RSUs (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2021, and (ii) are to be settled in cash or in shares of the Company's common stock, at the discretion of the Compensation Committee, as the administrator under the Plan. The reporting person has elected to defer receipt of the restricted stock units until the reporting person's separation from service as a director, subject to vesting requirements.

F2 · derivative.expiration_date: These RSUs (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2021, and (ii) are to be settled in cash or in shares of the Company's common stock, at the discretion of the Compensation Committee, as the administrator under the Plan. The reporting person has elected to defer receipt of the restricted stock units until the reporting person's separation from service as a director, subject to vesting requirements.

SEC source: 0001567619-20-017998 · doc1.xml · derivative · entry 1

von Althann Natica · CIK 0001477502 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,993

Underlying: Common Stock · 8,993 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock or, at the election of the Compensation Committee, the cash value thereof.

F2 · derivative.exercise_date: These RSUs (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2021, and (ii) are to be settled in cash or in shares of the Company's common stock, at the discretion of the Compensation Committee, as the administrator under the Plan. The reporting person has elected to defer receipt of the restricted stock units until the reporting person's separation from service as a director, subject to vesting requirements.

F2 · derivative.expiration_date: These RSUs (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2021, and (ii) are to be settled in cash or in shares of the Company's common stock, at the discretion of the Compensation Committee, as the administrator under the Plan. The reporting person has elected to defer receipt of the restricted stock units until the reporting person's separation from service as a director, subject to vesting requirements.

SEC source: 0001567619-20-018002 · doc1.xml · derivative · entry 1

HILZINGER MATTHEW F · CIK 0001184017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,993

Underlying: Common Stock · 8,993 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock or, at the election of the Compensation Committee, the cash value thereof.

F2 · derivative.exercise_date: These RSUs (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2021, and (ii) are to be settled in cash or in shares of the Company's common stock, at the discretion of the Compensation Committee, as the administrator under the Plan. The reporting person has elected to defer receipt of the restricted stock units until the reporting person's separation from service as a director, subject to vesting requirements.

F2 · derivative.expiration_date: These RSUs (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2021, and (ii) are to be settled in cash or in shares of the Company's common stock, at the discretion of the Compensation Committee, as the administrator under the Plan. The reporting person has elected to defer receipt of the restricted stock units until the reporting person's separation from service as a director, subject to vesting requirements.

SEC source: 0001567619-21-001246 · doc1.xml · nonDerivative · entry 1

Groobey John Christopher · CIK 0001795611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,104

F1 · shares: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. Directors Deferred Compensation Plan.

SEC source: 0001567619-21-001241 · doc1.xml · derivative · entry 1

England James Herbert · CIK 0001437823 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,244

Underlying: Common Stock · 7,738 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred common stock units issued to the reporting person pursuant to the FuelCell Energy, Inc. Directors Deferred Compensation Plan. In accordance with elections made by the reporting person under the Directors Deferred Compensation Plan, each common stock unit is the economic equivalent of one share of FuelCell Energy common stock, payable to the reporting person in stock upon separation from service as a director.

F1 · derivative.exercise_date: Deferred common stock units issued to the reporting person pursuant to the FuelCell Energy, Inc. Directors Deferred Compensation Plan. In accordance with elections made by the reporting person under the Directors Deferred Compensation Plan, each common stock unit is the economic equivalent of one share of FuelCell Energy common stock, payable to the reporting person in stock upon separation from service as a director.

F1 · derivative.expiration_date: Deferred common stock units issued to the reporting person pursuant to the FuelCell Energy, Inc. Directors Deferred Compensation Plan. In accordance with elections made by the reporting person under the Directors Deferred Compensation Plan, each common stock unit is the economic equivalent of one share of FuelCell Energy common stock, payable to the reporting person in stock upon separation from service as a director.

SEC source: 0001567619-20-011822 · doc1.xml · derivative · entry 2

Groobey John Christopher · CIK 0001795611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,810

Underlying: Common Stock · 23,810 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock or, at the election of the Compensation Committee, the cash value thereof.

F2 · derivative.exercise_date: These RSUs (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2021, and (ii) are to be settled in cash or in shares of the Company's common stock, at the discretion of the Compensation Committee, as the administrator under the Plan.

F2 · derivative.expiration_date: These RSUs (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2021, and (ii) are to be settled in cash or in shares of the Company's common stock, at the discretion of the Compensation Committee, as the administrator under the Plan.

SEC source: 0001567619-20-011822 · doc1.xml · nonDerivative · entry 1

Groobey John Christopher · CIK 0001795611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,696

SEC source: 0001567619-20-011820 · doc1.xml · derivative · entry 2

HILZINGER MATTHEW F · CIK 0001184017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,810

Underlying: Common Stock · 23,810 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock or, at the election of the Compensation Committee, the cash value thereof.

F2 · derivative.exercise_date: The reporting person has elected to defer receipt of the restricted stock units until the reporting person's separation from service as a director, subject to vesting requirements.

F2 · derivative.expiration_date: The reporting person has elected to defer receipt of the restricted stock units until the reporting person's separation from service as a director, subject to vesting requirements.

SEC source: 0001567619-20-011818 · doc1.xml · derivative · entry 3

England James Herbert · CIK 0001437823 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,630

Underlying: Common Stock · 30,952 shares

Expires not disclosed

F4 · derivative.exercise_price: Deferred common stock units issued to the reporting person pursuant to the FuelCell Energy, Inc. Directors Deferred Compensation Plan. In accordance with elections made by the reporting person under the Directors Deferred Compensation Plan, each common stock unit is the economic equivalent of one share of FuelCell Energy common stock, payable to the reporting person in cash upon separation from service as a director.

F4 · derivative.exercise_date: Deferred common stock units issued to the reporting person pursuant to the FuelCell Energy, Inc. Directors Deferred Compensation Plan. In accordance with elections made by the reporting person under the Directors Deferred Compensation Plan, each common stock unit is the economic equivalent of one share of FuelCell Energy common stock, payable to the reporting person in cash upon separation from service as a director.

F4 · derivative.expiration_date: Deferred common stock units issued to the reporting person pursuant to the FuelCell Energy, Inc. Directors Deferred Compensation Plan. In accordance with elections made by the reporting person under the Directors Deferred Compensation Plan, each common stock unit is the economic equivalent of one share of FuelCell Energy common stock, payable to the reporting person in cash upon separation from service as a director.

SEC source: 0001567619-20-011818 · doc1.xml · derivative · entry 2

England James Herbert · CIK 0001437823 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,810

Underlying: Common Stock · 23,810 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock or, at the election of the Compensation Committee, the cash value thereof.

F3 · derivative.exercise_date: The reporting person has elected to defer receipt of the restricted stock units until the reporting person's separation from service as a director, subject to vesting requirements.

F3 · derivative.expiration_date: The reporting person has elected to defer receipt of the restricted stock units until the reporting person's separation from service as a director, subject to vesting requirements.

SEC source: 0001567619-20-011816 · doc1.xml · derivative · entry 2

von Althann Natica · CIK 0001477502 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,810

Underlying: Common Stock · 23,810 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock or, at the election of the Compensation Committee, the cash value thereof.

F3 · derivative.exercise_date: The reporting person has elected to defer receipt of the restricted stock units until the reporting person's separation from service as a director, subject to vesting requirements.

F3 · derivative.expiration_date: The reporting person has elected to defer receipt of the restricted stock units until the reporting person's separation from service as a director, subject to vesting requirements.

SEC source: 0001567619-20-016027 · doc1.xml · derivative · entry 3

Few Jason · CIK 0001408158 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires not disclosed

F1 · date: The transaction date for these awards was erroneously shown as May 8, 2020 on the original report filed on May 12, 2020 and is corrected in this amendment to June 3, 2020.

F3 · derivative.exercise_date: Earned PSUs will vest on August 26, 2022 and the number earned, if any, will be based on the weighted-average price of the Company's common stock during the thirty (30) day calendar period ending on the vesting date compared to pre-established price goals. The vesting of the PSUs is also subject to the reporting person's continuous employment with the Company through the vesting date.

F3 · derivative.expiration_date: Earned PSUs will vest on August 26, 2022 and the number earned, if any, will be based on the weighted-average price of the Company's common stock during the thirty (30) day calendar period ending on the vesting date compared to pre-established price goals. The vesting of the PSUs is also subject to the reporting person's continuous employment with the Company through the vesting date.

SEC source: 0001567619-20-016027 · doc1.xml · derivative · entry 2

Few Jason · CIK 0001408158 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires not disclosed

F1 · date: The transaction date for these awards was erroneously shown as May 8, 2020 on the original report filed on May 12, 2020 and is corrected in this amendment to June 3, 2020.

F2 · derivative.exercise_date: RSUs will vest 100% on August 26, 2022, subject to the reporting person's continuous employment with the Company through the vesting date.

F2 · derivative.expiration_date: RSUs will vest 100% on August 26, 2022, subject to the reporting person's continuous employment with the Company through the vesting date.

SEC source: 0001567619-21-001243 · doc1.xml · nonDerivative · entry 1

Groobey John Christopher · CIK 0001795611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,732

F1 · shares: This amendment is being filed to correct the number of shares awarded on June 3, 2020. The original filing made on June 5, 2020 indicated that the number of shares awarded was 22,619, which reflected the full number of shares to be awarded throughout the year. The actual number of shares awarded on June 3, 2020 was 5,655.

F2 · shares: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. Directors Deferred Compensation Plan.

SEC source: 0001567619-21-001239 · doc1.xml · derivative · entry 1

England James Herbert · CIK 0001437823 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,417

Underlying: Common Stock · 7,739 shares

Expires not disclosed

F2 · derivative.exercise_price: Deferred common stock units issued to the reporting person pursuant to the FuelCell Energy, Inc. Directors Deferred Compensation Plan. In accordance with elections made by the reporting person under the Directors Deferred Compensation Plan, each common stock unit is the economic equivalent of one share of FuelCell Energy common stock, payable to the reporting person in cash upon separation from service as a director.

F1 · shares: This amendment is being filed to correct the number of units awarded on June 3, 2020. The original filing made on June 5, 2020, indicated that the number of units awarded was 30,952, which reflected the full number of units to be awarded throughout the year. The actual number of units awarded on June 3, 2020 was 7,739.

F2 · derivative.exercise_date: Deferred common stock units issued to the reporting person pursuant to the FuelCell Energy, Inc. Directors Deferred Compensation Plan. In accordance with elections made by the reporting person under the Directors Deferred Compensation Plan, each common stock unit is the economic equivalent of one share of FuelCell Energy common stock, payable to the reporting person in cash upon separation from service as a director.

F2 · derivative.expiration_date: Deferred common stock units issued to the reporting person pursuant to the FuelCell Energy, Inc. Directors Deferred Compensation Plan. In accordance with elections made by the reporting person under the Directors Deferred Compensation Plan, each common stock unit is the economic equivalent of one share of FuelCell Energy common stock, payable to the reporting person in cash upon separation from service as a director.

SEC source: 0001567619-20-010563 · doc1.xml · derivative · entry 2

Few Jason · CIK 0001408158 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,347 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Common Stock Units issued to the reporting person pursuant to the FuelCell Energy, Inc. Directors Deferred Compensation Plan. In accordance with elections made by the reporting person under the Directors Deferred Compensation Plan, the shares of common stock underlying the Common Stock Units are payable to the reporting person, on a one-for-one basis (i.e., one share of common stock for each Common Stock Unit), on the date following the FuelCell Energy 2020 Annual Meeting of Stockholders.

F1 · derivative.expiration_date: Common Stock Units issued to the reporting person pursuant to the FuelCell Energy, Inc. Directors Deferred Compensation Plan. In accordance with elections made by the reporting person under the Directors Deferred Compensation Plan, the shares of common stock underlying the Common Stock Units are payable to the reporting person, on a one-for-one basis (i.e., one share of common stock for each Common Stock Unit), on the date following the FuelCell Energy 2020 Annual Meeting of Stockholders.

SEC source: 0001567619-20-010563 · doc1.xml · nonDerivative · entry 1

Few Jason · CIK 0001408158 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,134

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001567619-20-009608 · doc1.xml · derivative · entry 3

Few Jason · CIK 0001408158 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires not disclosed

F2 · derivative.exercise_date: Earned PSUs will vest on August 26, 2022 and the number earned, if any, will be based on the weighted-average price of the Company's common stock during the thirty (30) day calendar period ending on the vesting date compared to pre-established price goals. The vesting of the PSUs is also subject to the reporting person's continuous employment with the Company through the vesting date.

F2 · derivative.expiration_date: Earned PSUs will vest on August 26, 2022 and the number earned, if any, will be based on the weighted-average price of the Company's common stock during the thirty (30) day calendar period ending on the vesting date compared to pre-established price goals. The vesting of the PSUs is also subject to the reporting person's continuous employment with the Company through the vesting date.

SEC source: 0001567619-20-009608 · doc1.xml · derivative · entry 2

Few Jason · CIK 0001408158 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires not disclosed

F1 · derivative.exercise_date: RSUs will vest 100% on August 26, 2022, subject to the reporting person's continuous employment with the Company through the vesting date.

F1 · derivative.expiration_date: RSUs will vest 100% on August 26, 2022, subject to the reporting person's continuous employment with the Company through the vesting date.

SEC source: 0001567619-20-007994 · doc1.xml · derivative · entry 3

HILZINGER MATTHEW F · CIK 0001184017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,367 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock or, at the election of the Compensation Committee, the cash value thereof.

F2 · derivative.exercise_date: These restricted stock units (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2020 and (ii) are to be settled in cash or in shares of FuelCell Energy common stock, at the discretion of the Compensation Committee.

F2 · derivative.expiration_date: These restricted stock units (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2020 and (ii) are to be settled in cash or in shares of FuelCell Energy common stock, at the discretion of the Compensation Committee.

SEC source: 0001567619-20-007994 · doc1.xml · nonDerivative · entry 2

HILZINGER MATTHEW F · CIK 0001184017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,396

SEC source: 0001567619-20-007994 · doc1.xml · nonDerivative · entry 1

HILZINGER MATTHEW F · CIK 0001184017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,367

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001567619-20-007988 · doc1.xml · derivative · entry 3

England James Herbert · CIK 0001437823 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,367 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock or, at the election of the Compensation Committee, the cash value thereof.

F2 · derivative.exercise_date: These restricted stock units (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2020 and (ii) are to be settled in cash or in shares of FuelCell Energy common stock, at the discretion of the Compensation Committee.

F2 · derivative.expiration_date: These restricted stock units (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2020 and (ii) are to be settled in cash or in shares of FuelCell Energy common stock, at the discretion of the Compensation Committee.

SEC source: 0001567619-20-007988 · doc1.xml · nonDerivative · entry 2

England James Herbert · CIK 0001437823 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,107

SEC source: 0001567619-20-007988 · doc1.xml · nonDerivative · entry 1

England James Herbert · CIK 0001437823 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,367

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001567619-20-008412 · doc1.xml · derivative · entry 2

HILZINGER MATTHEW F · CIK 0001184017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,367 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock or, at the election of the Compensation Committee, the cash value thereof.

F3 · derivative.exercise_date: These restricted stock units (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2020 and (ii) are to be settled in cash or in shares of FuelCell Energy common stock, at the discretion of the Compensation Committee.

F3 · derivative.expiration_date: These restricted stock units (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2020 and (ii) are to be settled in cash or in shares of FuelCell Energy common stock, at the discretion of the Compensation Committee.

SEC source: 0001567619-20-008412 · doc1.xml · nonDerivative · entry 1

HILZINGER MATTHEW F · CIK 0001184017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,367

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: The Form 4 filed on April 13, 2020 reported that shares were withheld upon the vesting of certain Director Restricted Stock Units. Because those shares were withheld due to an inadvertent error and the withholding transaction has been reversed, this amendment is being filed to remove the reference to such withholding transaction and to properly report the number of shares vested and held by the reporting person.

SEC source: 0001567619-20-008404 · doc1.xml · derivative · entry 2

England James Herbert · CIK 0001437823 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,367 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock or, at the election of the Compensation Committee, the cash value thereof.

F3 · derivative.exercise_date: These restricted stock units (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2020 and (ii) are to be settled in cash or in shares of FuelCell Energy common stock, at the discretion of the Compensation Committee.

F3 · derivative.expiration_date: These restricted stock units (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2020 and (ii) are to be settled in cash or in shares of FuelCell Energy common stock, at the discretion of the Compensation Committee.

SEC source: 0001567619-20-008404 · doc1.xml · nonDerivative · entry 1

England James Herbert · CIK 0001437823 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,367

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: The Form 4 filed on April 13, 2020 reported that shares were withheld upon the vesting of certain Director Restricted Stock Units. Because those shares were withheld due to an inadvertent error and the withholding transaction has been reversed, this amendment is being filed to remove the reference to such withholding transaction and to properly report the number of shares vested and held by the reporting person.

SEC source: 0001567619-20-007870 · doc1.xml · derivative · entry 3

von Althann Natica · CIK 0001477502 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,367 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock or, at the election of the Compensation Committee, the cash value thereof.

F2 · derivative.exercise_date: These restricted stock units (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2020 and (ii) are to be settled in cash or in shares of FuelCell Energy common stock, at the discretion of the Compensation Committee.

F2 · derivative.expiration_date: These restricted stock units (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2020 and (ii) are to be settled in cash or in shares of FuelCell Energy common stock, at the discretion of the Compensation Committee.

SEC source: 0001567619-20-007870 · doc1.xml · nonDerivative · entry 2

von Althann Natica · CIK 0001477502 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,725

SEC source: 0001567619-20-007870 · doc1.xml · nonDerivative · entry 1

von Althann Natica · CIK 0001477502 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,367

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001567619-20-007868 · doc1.xml · derivative · entry 3

Groobey John Christopher · CIK 0001795611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,065 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock or, at the election of the Compensation Committee, the cash value thereof.

F2 · derivative.exercise_date: These RSUs (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2020, and (ii) are to be settled in cash or in shares of the Company's common stock, at the discretion of the Compensation Committee, as the administrator under the Plan.

F2 · derivative.expiration_date: These RSUs (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2020, and (ii) are to be settled in cash or in shares of the Company's common stock, at the discretion of the Compensation Committee, as the administrator under the Plan.

SEC source: 0001567619-20-007868 · doc1.xml · nonDerivative · entry 2

Groobey John Christopher · CIK 0001795611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,945

SEC source: 0001567619-20-007868 · doc1.xml · nonDerivative · entry 1

Groobey John Christopher · CIK 0001795611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,077

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001567619-20-007864 · doc1.xml · derivative · entry 3

Few Jason · CIK 0001408158 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,629 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of common stock, or at the election of the Compensation Committee, the cash value thereof.

F2 · derivative.exercise_date: These restricted stock units (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2020 and (ii) are to be settled in cash or in shares of FuelCell Energy common stock, at the discretion of the Compensation Committee.

F2 · derivative.expiration_date: These restricted stock units (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2020 and (ii) are to be settled in cash or in shares of FuelCell Energy common stock, at the discretion of the Compensation Committee.

SEC source: 0001567619-20-007864 · doc1.xml · nonDerivative · entry 2

Few Jason · CIK 0001408158 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,727

SEC source: 0001567619-20-007864 · doc1.xml · nonDerivative · entry 1

Few Jason · CIK 0001408158 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,158

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001567619-20-008408 · doc1.xml · derivative · entry 2

Groobey John Christopher · CIK 0001795611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,065 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock or, at the election of the Compensation Committee, the cash value thereof.

F3 · derivative.exercise_date: These RSUs (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2020, and (ii) are to be settled in cash or in shares of the Company's common stock, at the discretion of the Compensation Committee, as the administrator under the Plan.

F3 · derivative.expiration_date: These RSUs (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2020, and (ii) are to be settled in cash or in shares of the Company's common stock, at the discretion of the Compensation Committee, as the administrator under the Plan.

SEC source: 0001567619-20-008408 · doc1.xml · nonDerivative · entry 1

Groobey John Christopher · CIK 0001795611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,077

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: The Form 4 filed on April 13, 2020 reported that shares were withheld upon the vesting of certain Director Restricted Stock Units. Because those shares were withheld due to an inadvertent error and the withholding transaction has been reversed, this amendment is being filed to remove the reference to such withholding transaction and to properly report the number of shares vested and held by the reporting person.

SEC source: 0001567619-20-008402 · doc1.xml · derivative · entry 2

von Althann Natica · CIK 0001477502 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,367 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock or, at the election of the Compensation Committee, the cash value thereof.

F3 · derivative.exercise_date: These restricted stock units (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2020 and (ii) are to be settled in cash or in shares of FuelCell Energy common stock, at the discretion of the Compensation Committee.

F3 · derivative.expiration_date: These restricted stock units (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2020 and (ii) are to be settled in cash or in shares of FuelCell Energy common stock, at the discretion of the Compensation Committee.

SEC source: 0001567619-20-008402 · doc1.xml · nonDerivative · entry 1

von Althann Natica · CIK 0001477502 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,367

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: The Form 4 filed on April 13, 2020 reported that shares were withheld upon the vesting of certain Director Restricted Stock Units. Because those shares were withheld due to an inadvertent error and the withholding transaction has been reversed, this amendment is being filed to remove the reference to such withholding transaction and to properly report the number of shares vested and held by the reporting person.