Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| FUELCELL ENERGY INCFCEL · Entity 4760 | Director · President and CEO | April 05, 2019 | April 09, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
FUELCELL ENERGY INC
Report date April 05, 2019 · Filed April 09, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 402,658 |
Ending reported balance
After 2019-04-08 transaction · row 5
5 source rows · reconciled sequenceRow 1 · 2019-04-05 · Exercise / conversion · Acquired 102,996 · Balance 363,080 F1: Restricted stock units were converted into common stock on a one-for-one basis. Row 2 · 2019-04-05 · Tax withholding · Disposed 31,471 · Balance 331,609 Row 3 · 2019-04-08 · Exercise / conversion · Acquired 110,167 · Balance 441,776 F1: Restricted stock units were converted into common stock on a one-for-one basis. Row 4 · 2019-04-08 · Tax withholding · Disposed 7,390 · Balance 434,386 F2: Represents shares withheld to satisfy tax obligations upon the vesting of a portion of the Restricted Stock granted on April 7, 2016. Row 5 · 2019-04-08 · Tax withholding · Disposed 31,728 · Balance 402,658 |
| Employee Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 526,327 |
Reported balance
After 2019-04-05 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-04-05 · Exercise / conversion · Disposed 102,996 · Balance 526,327 F1: Restricted stock units were converted into common stock on a one-for-one basis. F3: On April 5, 2018, the reporting person was granted 308,989 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. |
| Employee Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 416,160 |
Reported balance
After 2019-04-08 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2019-04-08 · Exercise / conversion · Disposed 110,167 · Balance 416,160 F1: Restricted stock units were converted into common stock on a one-for-one basis. F4: On April 6, 2017. The reporting person was granted 330,500 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted stock units were converted into common stock on a one-for-one basis.
F2: Represents shares withheld to satisfy tax obligations upon the vesting of a portion of the Restricted Stock granted on April 7, 2016.
F3: On April 5, 2018, the reporting person was granted 308,989 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.
F4: On April 6, 2017. The reporting person was granted 330,500 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 08, 2019 Filed Apr 9, 2019 22:37 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | Exercise / conversionEmployee Restricted Stock Unit · Derivative | 110,167 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-006610 · doc4.xml · derivative · entry 7 Bottone Arthur A. Jr. · CIK 0001484341 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 416,160 Underlying: Common Stock · 110,167 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: Restricted stock units were converted into common stock on a one-for-one basis. F4 · derivative.exercise_date: On April 6, 2017. The reporting person was granted 330,500 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. F4 · derivative.expiration_date: On April 6, 2017. The reporting person was granted 330,500 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. Read SEC document |
| April 08, 2019 Filed Apr 9, 2019 22:37 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | Tax withholdingCommon Stock | 31,728 | $0.30 | $9,518.40 |
DisclosureSEC source: 0001225208-19-006610 · doc4.xml · nonDerivative · entry 5 Bottone Arthur A. Jr. · CIK 0001484341 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 402,658 Read SEC document |
| April 08, 2019 Filed Apr 9, 2019 22:37 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | Tax withholdingCommon Stock | 7,390 | $0.30 | $2,217.00 |
DisclosureSEC source: 0001225208-19-006610 · doc4.xml · nonDerivative · entry 4 Bottone Arthur A. Jr. · CIK 0001484341 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 434,386 F2 · shares: Represents shares withheld to satisfy tax obligations upon the vesting of a portion of the Restricted Stock granted on April 7, 2016. Read SEC document |
| April 08, 2019 Filed Apr 9, 2019 22:37 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | Exercise / conversionCommon Stock | 110,167 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-006610 · doc4.xml · nonDerivative · entry 3 Bottone Arthur A. Jr. · CIK 0001484341 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 441,776 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 · price: Restricted stock units were converted into common stock on a one-for-one basis. Read SEC document |
| April 05, 2019 Filed Apr 9, 2019 22:37 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | Exercise / conversionEmployee Restricted Stock Unit · Derivative | 102,996 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-006610 · doc4.xml · derivative · entry 6 Bottone Arthur A. Jr. · CIK 0001484341 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 526,327 Underlying: Common Stock · 102,996 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: Restricted stock units were converted into common stock on a one-for-one basis. F3 · derivative.exercise_date: On April 5, 2018, the reporting person was granted 308,989 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. F3 · derivative.expiration_date: On April 5, 2018, the reporting person was granted 308,989 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. Read SEC document |
| April 05, 2019 Filed Apr 9, 2019 22:37 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | Tax withholdingCommon Stock | 31,471 | $0.31 | $9,756.01 |
DisclosureSEC source: 0001225208-19-006610 · doc4.xml · nonDerivative · entry 2 Bottone Arthur A. Jr. · CIK 0001484341 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 331,609 Read SEC document |
| April 05, 2019 Filed Apr 9, 2019 22:37 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | Exercise / conversionCommon Stock | 102,996 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-006610 · doc4.xml · nonDerivative · entry 1 Bottone Arthur A. Jr. · CIK 0001484341 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 363,080 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 · price: Restricted stock units were converted into common stock on a one-for-one basis. Read SEC document |
| April 02, 2019 Filed Apr 4, 2019 20:03 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | Tax withholdingCommon Stock | 3,793 | $0.26 | $983.90 |
DisclosureSEC source: 0001225208-19-006445 · doc4.xml · nonDerivative · entry 1 Bottone Arthur A. Jr. · CIK 0001484341 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 260,084 F1 · shares: Represents shares netted for taxes pursuant to vesting of a portion of Restricted Stock granted on April 2, 2015. Read SEC document |
| April 09, 2018 Filed Apr 11, 2018 20:14 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | Tax withholdingCommon Stock | 7,683 | $1.86 | $14,290.38 |
DisclosureSEC source: 0001225208-18-007661 · doc4.xml · nonDerivative · entry 1 Bottone Arthur A. Jr. · CIK 0001484341 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 263,877 F1 · shares: Represents shares withheld to satisfy tax obligations upon the vesting of a portion of the Restricted Stock granted on April 7, 2016. Read SEC document |
| April 06, 2018 Filed Apr 9, 2018 22:23 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | Exercise / conversionEmployee Restricted Stock Unit · Derivative | 110,166 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-007559 · doc4.xml · derivative · entry 5 Bottone Arthur A. Jr. · CIK 0001484341 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 629,323 Underlying: Common Stock · 110,166 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 upon vesting of the Restricted Stock Unit. F6 · shares: Represents shares distributed pursuant to vesting of a portion of Restricted Stock Units granted on April 6, 2017. F1 · price: Each Restricted Stock Unit represents a contingent right to receive one share of common stock upon vesting of the Restricted Stock Unit. F4 · derivative.exercise_date: The Restricted Stock Units vest 1/3 on each of the first, second and third anniversaries of the date of grant, subject to continued employment. F4 · derivative.expiration_date: The Restricted Stock Units vest 1/3 on each of the first, second and third anniversaries of the date of grant, subject to continued employment. Read SEC document |
| April 06, 2018 Filed Apr 9, 2018 22:23 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | Tax withholdingCommon Stock | 32,984 | $1.80 | $59,371.20 |
DisclosureSEC source: 0001225208-18-007559 · doc4.xml · nonDerivative · entry 2 Bottone Arthur A. Jr. · CIK 0001484341 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 271,560 F2 · shares: Represents shares netted for taxes pursuant to vesting of a portion of Restricted Stock Units granted on April 6, 2017. Read SEC document |
| April 06, 2018 Filed Apr 9, 2018 22:23 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | Exercise / conversionCommon Stock | 110,166 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-007559 · doc4.xml · nonDerivative · entry 1 Bottone Arthur A. Jr. · CIK 0001484341 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 304,544 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 · price: Each Restricted Stock Unit represents a contingent right to receive one share of common stock upon vesting of the Restricted Stock Unit. Read SEC document |
| April 05, 2018 Filed Apr 9, 2018 22:23 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | GrantEmployee Restricted Stock Unit · Derivative | 100,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-18-007559 · doc4.xml · derivative · entry 4 Bottone Arthur A. Jr. · CIK 0001484341 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 739,489 Underlying: Common Stock · 100,000 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. F3 · kind: Awarded under the FuelCell Energy, Inc. 2018 Omnibus Incentive Plan. F1 · price: Each Restricted Stock Unit represents a contingent right to receive one share of common stock upon vesting of the Restricted Stock Unit. F5 · derivative.exercise_date: The Restricted Stock Units vest 100% on the third anniversary of the date of grant. F5 · derivative.expiration_date: The Restricted Stock Units vest 100% on the third anniversary of the date of grant. Read SEC document |
| April 05, 2018 Filed Apr 9, 2018 22:23 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | GrantEmployee Restricted Stock Unit · Derivative | 308,989 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-18-007559 · doc4.xml · derivative · entry 3 Bottone Arthur A. Jr. · CIK 0001484341 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 639,489 Underlying: Common Stock · 308,989 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. F3 · kind: Awarded under the FuelCell Energy, Inc. 2018 Omnibus Incentive Plan. F1 · price: Each Restricted Stock Unit represents a contingent right to receive one share of common stock upon vesting of the Restricted Stock Unit. F4 · derivative.exercise_date: The Restricted Stock Units vest 1/3 on each of the first, second and third anniversaries of the date of grant, subject to continued employment. F4 · derivative.expiration_date: The Restricted Stock Units vest 1/3 on each of the first, second and third anniversaries of the date of grant, subject to continued employment. Read SEC document |
| April 02, 2018 Filed Apr 4, 2018 20:07 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | Tax withholdingCommon Stock | 3,247 | $1.73 | $5,617.31 |
DisclosureSEC source: 0001225208-18-007335 · doc4.xml · nonDerivative · entry 1 Bottone Arthur A. Jr. · CIK 0001484341 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 194,378 F1 · shares: Represents shares netted for taxes pursuant to vesting of a portion of Restricted Stock Granted on April 2, 2015. Read SEC document |
| March 27, 2018 Filed Mar 29, 2018 21:11 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | Tax withholdingCommon Stock | 967 | $1.75 | $1,692.25 |
DisclosureSEC source: 0001225208-18-006804 · doc4.xml · nonDerivative · entry 1 Bottone Arthur A. Jr. · CIK 0001484341 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 197,625 F1 · shares: Represents shares netted for taxes pursuant to vesting of a portion of Restricted Stock granted on March 27, 2014. Read SEC document |
| April 07, 2017 Filed Apr 10, 2017 21:34 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | Tax withholdingCommon Stock | 8,455 | $1.60 | $13,528.00 |
DisclosureSEC source: 0001225208-17-007882 · doc4.xml · nonDerivative · entry 1 Bottone Arthur A. Jr. · CIK 0001484341 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,592 F1 · shares: Represents shares netted for taxes pursuant to vesting of a portion of Restricted Stock granted on April 7, 2016. Read SEC document |
| April 06, 2017 Filed Apr 10, 2017 21:34 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | GrantEmployee Restricted Stock Unit · Derivative | 330,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-007882 · doc4.xml · derivative · entry 2 Bottone Arthur A. Jr. · CIK 0001484341 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 330,500 Underlying: Common Stock · 330,500 shares Expires not disclosed F2 · 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. F3 · kind: Awarded under the Amended & Restated 2010 Equity Incentive Plan. F2 · price: Each Restricted Stock Unit represents a contingent right to receive one share of common stock upon vesting of the Restricted Stock Unit. F4 · derivative.exercise_date: The Restricted Stock Units vest 1/3 on each of the first, second and third anniversaries of the date of grant, subject to continued employment. F4 · derivative.expiration_date: The Restricted Stock Units vest 1/3 on each of the first, second and third anniversaries of the date of grant, subject to continued employment. Read SEC document |
| April 03, 2017 Filed Apr 4, 2017 20:46 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | Tax withholdingCommon Stock | 4,148 | $1.35 | $5,599.80 |
DisclosureSEC source: 0001225208-17-007434 · doc4.xml · nonDerivative · entry 1 Bottone Arthur A. Jr. · CIK 0001484341 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,047 F1 · shares: Represents Shares netted for taxes pursuant to vesting of a portion of Restricted Stock granted on April 2, 2015. Read SEC document |
| March 28, 2017 Filed Mar 29, 2017 20:21 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | Tax withholdingCommon Stock | 3,052 | $1.40 | $4,272.80 |
DisclosureSEC source: 0001225208-17-007021 · doc4.xml · nonDerivative · entry 2 Bottone Arthur A. Jr. · CIK 0001484341 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 211,195 F2 · balance_after: Represents Shares netted for taxes pursuant to vesting of a portion of Restricted Stock granted on March 28, 2013. Read SEC document |
| March 27, 2017 Filed Mar 29, 2017 20:21 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | Tax withholdingCommon Stock | 1,235 | $1.40 | $1,729.00 |
DisclosureSEC source: 0001225208-17-007021 · doc4.xml · nonDerivative · entry 1 Bottone Arthur A. Jr. · CIK 0001484341 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 214,247 F1 · balance_after: Represents Shares netted for taxes pursuant to vesting of a portion of Restricted Stock granted on March 27, 2014. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.