Form D · Other Energy

FUEL TECH, INC.

Warrenville, IL · CIK 0000846913

Offering snapshot reported Feb 26, 2021 · SEC filing

Reported sold: $25.8M
Investors reported: 15
Minimum accepted: $0
First sale: Feb 11, 2021

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Feb 26, 2021	Initial	$25,812,500	No comparison	15	SEC filing

Offering details

Securities: Equity, Option to acquire, Security to be acquired
Exemptions: 06b
Duration over one year: No
Business combination: No

Sales commissions: $1.68M
Finders' fees: $0
Form D file number: 021-390706

The offering amount includes proceeds receivable by the Issuer upon the exercise of warrants to purchase the Issuer's common stock (assuming no cashless exercise).

H.C. Wainwright & Co., the placement agent for the private placement, received $1,677,812 for fees and warrants to purchase up to 350,000 shares of common stock at an exercise price of $6.453125 per share.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
H.C. Wainwright & Co., LLC	375

Source: Form D, filed Feb 26, 2021. Minimum accepted may differ from a standard advertised minimum.

Fund connections

No confirmed ADV fund connection is available for this issuer.

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
Name	Reported role
Ellen Albrecht	Executive
Vincent Arnone	Director, Executive
Douglas Bailey	Director
Sharon Jones	Director
James Markowsky	Director
Thomas Shaw, Jr.	Director
Dennis Zeitler	Director

Issuer details

Industry: Other Energy (See others in industry)

Address:

27601 Bella Vista Parkway
Warrenville, IL, 60555