Statement of Changes in Beneficial Ownership (4)
21 Junho 2022 - 06:29PM
Edgar (US Regulatory)
FORM 4
[ ] Check this box if no longer subject to Section
16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
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hours per response... 0.5 |
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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 * NOVELLY PAUL A. |
2. Issuer Name and Ticker or Trading
Symbol FutureFuel Corp. [ FF ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
Exec COTB and CEO |
(Last)
(First)
(Middle)
200 W. COCONUT PALM ROAD |
3. Date of Earliest Transaction (MM/DD/YYYY)
11/14/2014
|
(Street)
BOCA RATON, FL 33432
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
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 Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. 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 |
|
80000 |
D |
$12.28 |
435000 |
D |
|
Common Stock |
|
|
|
|
|
|
|
375000 |
I |
By Apex Holding (2) |
Common Stock |
|
|
|
|
|
|
|
16915000 |
I |
By Global (3) |
Common Stock |
3/13/2015 (1) |
|
S |
|
84500 |
D |
$11.79 |
350500 |
D |
|
Common Stock |
|
|
|
|
|
|
|
375000 |
I |
By Apex Holding (2) |
Common Stock |
|
|
|
|
|
|
|
16999600 |
I |
By Global (3) |
Common Stock |
2/25/2016 (1) |
|
S |
|
78850 |
D |
$12.675 |
271650 |
D |
|
Common Stock |
|
|
|
|
|
|
|
375000 |
I |
By Apex Holding (2) |
Common Stock |
|
|
|
|
|
|
|
17078450 |
I |
By Global (3) |
Common Stock |
5/9/2017 (1) |
|
S |
|
6650 |
D |
$16.17 |
265000 |
D |
|
Common Stock |
|
|
|
|
|
|
|
375000 |
I |
By Apex Holding (2) |
Common Stock |
|
|
|
|
|
|
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17085100 |
I |
By Global (3) |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. 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 |
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 of Derivative Security: 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. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
NOVELLY PAUL A.
200 W. COCONUT PALM ROAD
BOCA RATON, FL 33432 |
X |
|
Exec COTB and CEO |
|
Signatures
|
/s/ Paul A. Novelly |
|
6/17/2022 |
**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 control number. |
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