SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Houghton Kathleen

(Last) (First) (Middle)
C/O HUDSON TECHNOLOGIES, INC.
ONE BLUE HILL PLAZA, P.O. BOX 1541

(Street)
PEARL RIVER NY 10965

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
09/14/2020
3. Issuer Name and Ticker or Trading Symbol
HUDSON TECHNOLOGIES INC /NY [ HDSN ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
VP - Sales and Marketing
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 0 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (1) 05/23/2021 Common Stock 6,000 2.17 D
Stock Option (1) 06/08/2021 Common Stock 30,000 2.31 D
Stock Option (1) 11/30/2021 Common Stock 125,000 1.09 D
Stock Option (1) 02/20/2022 Common Stock 20,000 1.25 D
Stock Option (2) 12/19/2029 Common Stock 120,000 0.75 D
Explanation of Responses:
1. Already fully vested.
2. One-half vested; remainder vests in two equal installments based on performance criteria after Q3 and Q4 2020.
/s/Kathleen Houghton 09/16/2020
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.