Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| FUELCELL ENERGY INCFCEL · Entity 4760 | Chief Operating Officer | 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 | 209,883 |
Ending reported balance
After 2019-04-08 transaction · row 5
5 source rows · reconciled sequenceRow 1 · 2019-04-05 · Exercise / conversion · Acquired 56,179 · Balance 198,487 F1: Restricted stock units were converted into common stock on a one-for-one basis. Row 2 · 2019-04-05 · Tax withholding · Disposed 20,584 · Balance 177,903 Row 3 · 2019-04-08 · Exercise / conversion · Acquired 58,333 · Balance 236,236 F1: Restricted stock units were converted into common stock on a one-for-one basis. Row 4 · 2019-04-08 · Tax withholding · Disposed 21,374 · Balance 214,862 Row 5 · 2019-04-08 · Tax withholding · Disposed 4,979 · Balance 209,883 F2: Represents shares withheld to satisfy tax obligations upon the vesting of a portion of the Restricted Stock granted on April 7, 2016. |
| Employee Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 329,027 |
Reported balance
After 2019-04-08 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-04-08 · Exercise / conversion · Disposed 56,179 · Balance 329,027 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 168,539 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 | 270,694 |
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 58,333 · Balance 270,694 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 175,000 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 168,539 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 175,000 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 | 58,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-006611 · doc4.xml · derivative · entry 7 Rauseo Anthony · CIK 0001495929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 270,694 Underlying: Common Stock · 58,333 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 175,000 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 175,000 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 | Exercise / conversionEmployee Restricted Stock Unit · Derivative | 56,179 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-006611 · doc4.xml · derivative · entry 6 Rauseo Anthony · CIK 0001495929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 329,027 Underlying: Common Stock · 56,179 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 168,539 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 168,539 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 | 4,979 | $0.30 | $1,493.70 |
DisclosureSEC source: 0001225208-19-006611 · doc4.xml · nonDerivative · entry 5 Rauseo Anthony · CIK 0001495929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 209,883 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 | Tax withholdingCommon Stock | 21,374 | $0.30 | $6,412.20 |
DisclosureSEC source: 0001225208-19-006611 · doc4.xml · nonDerivative · entry 4 Rauseo Anthony · CIK 0001495929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 214,862 Read SEC document |
| April 08, 2019 Filed Apr 9, 2019 22:37 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | Exercise / conversionCommon Stock | 58,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-006611 · doc4.xml · nonDerivative · entry 3 Rauseo Anthony · CIK 0001495929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 236,236 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 | Tax withholdingCommon Stock | 20,584 | $0.31 | $6,381.04 |
DisclosureSEC source: 0001225208-19-006611 · doc4.xml · nonDerivative · entry 2 Rauseo Anthony · CIK 0001495929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,903 Read SEC document |
| April 05, 2019 Filed Apr 9, 2019 22:37 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | Exercise / conversionCommon Stock | 56,179 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-006611 · doc4.xml · nonDerivative · entry 1 Rauseo Anthony · CIK 0001495929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,487 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 | 1,503 | $0.26 | $389.88 |
DisclosureSEC source: 0001225208-19-006446 · doc4.xml · nonDerivative · entry 1 Rauseo Anthony · CIK 0001495929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,308 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 | 4,259 | $1.86 | $7,921.74 |
DisclosureSEC source: 0001225208-18-007662 · doc4.xml · nonDerivative · entry 1 Rauseo Anthony · CIK 0001495929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,811 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 | 58,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-007561 · doc4.xml · derivative · entry 5 Rauseo Anthony · CIK 0001495929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 385,206 Underlying: Common Stock · 58,333 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 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. 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 06, 2018 Filed Apr 9, 2018 22:23 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | Tax withholdingCommon Stock | 18,282 | $1.80 | $32,907.60 |
DisclosureSEC source: 0001225208-18-007561 · doc4.xml · nonDerivative · entry 2 Rauseo Anthony · CIK 0001495929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,070 F1 · 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 | 58,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-007561 · doc4.xml · nonDerivative · entry 1 Rauseo Anthony · CIK 0001495929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,352 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: Represents shares netted for taxes pursuant to vesting of a portion of Restricted Stock Units granted on April 6, 2017. 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: 0001225208-18-007561 · doc4.xml · derivative · entry 4 Rauseo Anthony · CIK 0001495929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 443,539 Underlying: Common Stock · 100,000 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 FuelCell Energy, Inc. 2018 Omnibus 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. F5 · derivative.exercise_date: The Restricted Stock Units vest 100% on the third anniversary of the date of grant subject to continued employment. F5 · derivative.expiration_date: The Restricted Stock Units vest 100% on the third anniversary of the date of grant subject to continued employment. Read SEC document |
| April 05, 2018 Filed Apr 9, 2018 22:23 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | GrantEmployee Restricted Stock Unit · Derivative | 168,539 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-18-007561 · doc4.xml · derivative · entry 3 Rauseo Anthony · CIK 0001495929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 343,539 Underlying: Common Stock · 168,539 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 FuelCell Energy, Inc. 2018 Omnibus 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 02, 2018 Filed Apr 4, 2018 20:07 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | Tax withholdingCommon Stock | 1,286 | $1.73 | $2,224.78 |
DisclosureSEC source: 0001225208-18-007336 · doc4.xml · nonDerivative · entry 1 Rauseo Anthony · CIK 0001495929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,019 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 | 742 | $1.75 | $1,298.50 |
DisclosureSEC source: 0001225208-18-006805 · doc4.xml · nonDerivative · entry 1 Rauseo Anthony · CIK 0001495929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,305 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 | 4,544 | $1.60 | $7,270.40 |
DisclosureSEC source: 0001225208-17-007883 · doc4.xml · nonDerivative · entry 1 Rauseo Anthony · CIK 0001495929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,047 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 | 175,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-007883 · doc4.xml · derivative · entry 2 Rauseo Anthony · CIK 0001495929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,000 Underlying: Common Stock · 175,000 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 | 1,627 | $1.35 | $2,196.45 |
DisclosureSEC source: 0001225208-17-007435 · doc4.xml · nonDerivative · entry 1 Rauseo Anthony · CIK 0001495929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,591 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 20:20 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | Tax withholdingCommon Stock | 1,836 | $1.40 | $2,570.40 |
DisclosureSEC source: 0001225208-17-007020 · doc4.xml · nonDerivative · entry 2 Rauseo Anthony · CIK 0001495929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,218 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 20:20 UTC | FUELCELL ENERGY INC FCEL · Entity 4760 | Tax withholdingCommon Stock | 939 | $1.40 | $1,314.60 |
DisclosureSEC source: 0001225208-17-007020 · doc4.xml · nonDerivative · entry 1 Rauseo Anthony · CIK 0001495929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,054 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.