SEC Form 4
FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol FutureFuel Corp. [ FF ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 11/14/2014 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 11/14/2014(1) | S | 80,000 | D | $12.28 | 435,000 | D | |||
Common Stock | 375,000 | I | By Apex Holding(2) | |||||||
Common Stock | 16,915,000 | I | By Global(3) | |||||||
Common Stock | 03/13/2015(1) | S | 84,500 | D | $11.79 | 350,500 | D | |||
Common Stock | 375,000 | I | By Apex Holding(2) | |||||||
Common Stock | 16,999,600 | I | By Global(3) | |||||||
Common Stock | 02/25/2016(1) | S | 78,850 | D | $12.675 | 271,650 | D | |||
Common Stock | 375,000 | I | By Apex Holding(2) | |||||||
Common Stock | 17,078,450 | I | By Global(3) | |||||||
Common Stock | 05/09/2017(1) | S | 6,650 | D | $16.17 | 265,000 | D | |||
Common Stock | 375,000 | I | By Apex Holding(2) | |||||||
Common Stock | 17,085,100 | I | By Global(3) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. Represents the sale of the Issuer's common stock by Mr. Novelly to St. Albans Global Management, LLC (f/k/a St. Albans Global Management, Limited Partnership, LLLP) ("Global"). |
2. Held of record by Apex Holding Co., a Missouri corporation ("Apex Holding"). As previously disclosed, Mr. Novelly previously served as the sole Director and Chief Executive Officer of Apex Holding. By virtue of his position as the sole Director and Chief Executive Officer of Apex Holding, Mr. Novelly may have been deemed to be the beneficial owner of the issuer's securities held of record by Apex Holding (and he disclaims beneficial ownership of all such securities owned by Apex Holding except to the extent of a minor pecuniary interest). As of May 2, 2022, Mr. Novelly no longer served as a director or executive officer of Apex Holding. Accordingly, Mr. Novelly is no longer deemed to be the beneficial owner of the Issuer's securities held of record by Apex Holding. |
3. Held of record by Global. As previously disclosed, Mr. Novelly previously served as the Chief Executive Officer of Global. By virtue of his position as the Chief Executive Officer of Global, Mr. Novelly may have been deemed to be the beneficial owner of the Issuer's securities held of record by Global (and Mr. Novelly disclaims beneficial ownership of all such securities owned by Global, except to the extent of a minor pecuniary interest). As of April 26, 2022, Mr. Novelly no longer served as the Chief Executive Officer of Global. Accordingly, Mr. Novelly is no longer deemed to be the beneficial owner of the Issuer's securities held of record by Global. |
/s/ Paul A. Novelly | 06/17/2022 | |
** 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 4 (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. |