English

Insider transactions

EDGAR

FUEL TECH, INC.

Transactions reported by directors, officers and 10% owners on SEC Forms 3, 4 and 5, read from each filing’s XML. Codes and their wording are the SEC’s own.

A Form 4 is due within two business days of the transaction, so the most recent trades may not be filed yet.

Window: transactions dated on or after 2025-11-15.

Open-market purchases (code P): 2 transactions, 11,470.529 shares; Sum of shares × price per share: 14,399.91944
Open-market sales (code S): 0 transactions, — shares

Totals add the filed transactions listed; they are counts of what was reported, not a measure of direction.

Showing 1–8 of 8

Insider transactions, newest first, as filed on SEC Forms 3, 4 and 5
Date	Reporting owner	Code	Acquired or disposed	Shares	Price per share, as filed	Value (derived)	Shares owned after	Direct or indirect	Rule 10b5-1 box	Notes	Source
2026-09-01 Filed 2026-09-03	Nuggihalli Ramesh Officer: President CEO	P Open market or private purchase of non-derivative or derivative security Common Stock	Acquired (A)	1,470.529	1.36	1,999.91944 Derived: shares × price per share. Exact value 1999.91944.	1,470.529	Direct (D)	No	F1 F1 The price reported in Column 4 is a weighted average share price. The shares were purchased in multiple transactions for an average price of $1.360. The reporting person undertakes to provide to any security holder of Fuel Tech, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.	Open filing 0001437749-26-029608 Read from the filing’s XML Dispute this row
2026-06-04 Filed 2026-06-05	Jones Sharon L Director	A Grant, award or other acquisition pursuant to Rule 16b-3(d) Derivative security: Restricted Stock Units — underlying Common Stock (15,000)	Acquired (A)	15,000	0	—	15,000	Direct (D)	No	F1, F2 F1 Each Restricted Stock Unit represents a contingent right to receive one stock of FTEK Common Stock. The grant of the Restricted Stock Units was approved by the non-employee directors of the Compensation Committee of Fuel Tech, Inc. on June 3, 2026. F2 The Restricted Stock Units vest on the one-year anniversary after the transaction date shown above.	Open filing 0001437749-26-019744 Read from the filing’s XML Dispute this row
2026-06-04 Filed 2026-06-05	ZEITLER DENNIS L Director	A Grant, award or other acquisition pursuant to Rule 16b-3(d) Derivative security: Restricted Stock Units — underlying Common Stock (15,000)	Acquired (A)	15,000	0	—	15,000	Direct (D)	No	F1, F2 F1 Each Restricted Stock Unit represents a contingent right to receive one stock of FTEK Common Stock. The grant of the Restricted Stock Units was approved by the non-employee directors of the Compensation Committee of Fuel Tech, Inc. on June 3, 2026. F2 The Restricted Stock Units vest on the one-year anniversary after the transaction date shown above.	Open filing 0001437749-26-019743 Read from the filing’s XML Dispute this row
2026-06-04 Filed 2026-06-05	BAILEY DOUGLAS G Director	A Grant, award or other acquisition pursuant to Rule 16b-3(d) Derivative security: Restricted Stock Units — underlying Common Stock (15,000)	Acquired (A)	15,000	0	—	15,000	Direct (D)	No	F1, F2 F1 Each Restricted Stock Unit represents a contingent right to receive one stock of FTEK Common Stock. The grant of the Restricted Stock Units was approved by the non-employee directors of the Compensation Committee of Fuel Tech, Inc. on June 3, 2026. F2 The Restricted Stock Units vest on the one-year anniversary after the transaction date shown above.	Open filing 0001437749-26-019745 Read from the filing’s XML Dispute this row
2026-03-24 Filed 2026-03-27	ARNONE VINCENT J Director · Officer: President CEO	A Grant, award or other acquisition pursuant to Rule 16b-3(d) Derivative security: Restricted Stock Units — underlying Common Stock (20,850)	Acquired (A)	20,850	0	—	20,850	Direct (D)	No	F1, F2 F1 Each Restricted Stock Unit represents a contingent right to receive one stock of FTEK Common Stock. F2 The Restricted Stock Units vest in three installments: (i) one-third of the total RSUs awarded shall vest on the one year anniversary after the transaction date shown above, (ii) one-third shall vest on the second anniversary of the transaction date shown above, and (iii) one-third shall vest on the third anniversary of the transaction date shown above. Subject to the restrictions on distribution set forth in the registrant's RSU Award Agreement, generally, shares will be delivered to the reporting person in respect of vested RSUs as soon as practicable after each vesting date, unless the reporting person has elected to defer distribution until a later date.	Open filing 0001437749-26-010081 Read from the filing’s XML Dispute this row
2026-03-24 Filed 2026-03-27	Albrecht Ellen T Officer: Chief Financial Officer	A Grant, award or other acquisition pursuant to Rule 16b-3(d) Derivative security: Restricted Stock Units — underlying Common Stock (8,350)	Acquired (A)	8,350	0	—	8,350	Direct (D)	No	F1, F2 F1 Each Restricted Stock Unit represents a contingent right to receive one stock of FTEK Common Stock. F2 The Restricted Stock Units vest in three installments: (i) one-third of the total RSUs awarded shall vest on the one year anniversary after the transaction date shown above, (ii) one-third shall vest on the second anniversary of the transaction date shown above, and (iii) one-third shall vest on the third anniversary of the transaction date shown above. Subject to the restrictions on distribution set forth in the registrant's RSU Award Agreement, generally, shares will be delivered to the reporting person in respect of vested RSUs as soon as practicable after each vesting date, unless the reporting person has elected to defer distribution until a later date.	Open filing 0001437749-26-010082 Read from the filing’s XML Dispute this row
2026-03-24 Filed 2026-03-27	Cummings William E JR Officer: Senior Vice President, Sales	A Grant, award or other acquisition pursuant to Rule 16b-3(d) Derivative security: Restricted Stock Units — underlying Common Stock (6,250)	Acquired (A)	6,250	0	—	6,250	Direct (D)	No	F1, F2 F1 Each Restricted Stock Unit represents a contingent right to receive one stock of FTEK Common Stock. F2 The Restricted Stock Units vest in three installments: (i) one-third of the total RSUs awarded shall vest on the one year anniversary after the transaction date shown above, (ii) one-third shall vest on the second anniversary of the transaction date shown above, and (iii) one-third shall vest on the third anniversary of the transaction date shown above. Subject to the restrictions on distribution set forth in the registrant's RSU Award Agreement, generally, shares will be delivered to the reporting person in respect of vested RSUs as soon as practicable after each vesting date, unless the reporting person has elected to defer distribution until a later date.	Open filing 0001437749-26-010080 Read from the filing’s XML Dispute this row
2026-03-06 Filed 2026-03-09	ARNONE VINCENT J Director · Officer: President CEO	P Open market or private purchase of non-derivative or derivative security Common Stock	Acquired (A)	10,000	1.24	12,400 Derived: shares × price per share. Exact value 12400.00.	549,513	Direct (D)	No	—	Open filing 0001437749-26-007356 Read from the filing’s XML Dispute this row

Institutional holders (Form 13F)

Quarter ending 2026-09-30: 6,357 filings read, the latest filed 2026-11-13. Prior quarter ending 2026-06-30: 9,141 filings read.

Showing 1–31 of 31

Institutional holders, largest position first, as filed
Manager	Shares or principal	Value as filed	Change from the prior quarter	Source
GRACE WHITE INC /NY	1,541,307 SH	2,496,917 dollars	Unchanged Prior quarter: 1,541,307	Open filing 0000903064-26-000011 Filed 2026-10-23 Dispute this row
RENAISSANCE TECHNOLOGIES LLC Partly reported under another manager	967,806 SH	1,567,846 dollars	Lower by 134,600 Prior quarter: 1,102,406	Open filing 0001037389-26-000062 Filed 2026-11-12 Dispute this row
Peapod Lane Capital LLC	765,119 SH	1,239,493 dollars	Lower by 55,473 Prior quarter: 820,592	Open filing 0001941040-26-000768 Filed 2026-10-22 Dispute this row
GEODE CAPITAL MANAGEMENT, LLC Partly reported under another manager	523,907 SH	848,845 dollars	Higher by 924 Prior quarter: 522,983	Open filing 0001214717-26-000012 Filed 2026-11-06 Dispute this row
US BANCORP \DE\ Partly reported under another manager	304,776 SH	493,737 dollars	Unchanged Prior quarter: 304,776	Open filing 0000036104-26-000059 Filed 2026-11-05 Dispute this row
INTEGRITY WEALTH ADVISORS, INC.	135,000 SH	218,700 dollars	Not in the prior quarter’s filings read	Open filing 0001172661-26-004746 Filed 2026-10-29 Dispute this row
STATE STREET CORP Partly reported under another manager	121,846 SH	197,391 dollars	Unchanged Prior quarter: 121,846	Open filing 0000093751-26-000747 Filed 2026-11-12 Dispute this row
THOMPSON DAVIS CO., INC.	78,100 SH	126,522 dollars	Lower by 7,700 Prior quarter: 85,800	Open filing 0001017284-26-000012 Filed 2026-11-05 Dispute this row
ESSEX INVESTMENT MANAGEMENT CO LLC Partly reported under another manager	77,159 SH	124,998 dollars	Unchanged Prior quarter: 77,159	Open filing 0000201772-26-000007 Filed 2026-10-19 Dispute this row
JANE STREET GROUP, LLC Partly reported under another manager	74,615 SH	120,876 dollars	Lower by 34,868 Prior quarter: 109,483	Open filing 0001595888-26-000162 Filed 2026-11-12 Dispute this row
KLCM Advisors, Inc. Partly reported under another manager	43,001 SH	69,662 dollars	Not in the prior quarter’s filings read	Open filing 0001166620-26-000009 Filed 2026-11-12 Dispute this row
OSAIC HOLDINGS, INC. Partly reported under another manager	41,200 SH	66,744 dollars	Higher by 40,000 Prior quarter: 1,200	Open filing 0001677044-26-000011 Filed 2026-11-12 Dispute this row
LexAurum Advisors, LLC	20,160 SH	32,659 dollars	Unchanged Prior quarter: 20,160	Open filing 0001729677-26-000012 Filed 2026-10-19 Dispute this row
Legato Capital Management LLC	18,165 SH	29,427 dollars	Unchanged Prior quarter: 18,165	Open filing 0001821268-26-000199 Filed 2026-11-10 Dispute this row
DIMENSIONAL FUND ADVISORS LP Partly reported under another manager	13,428 SH	21,835 dollars	Unchanged Prior quarter: 13,428	Open filing 0000354204-26-001096 Filed 2026-11-04 Dispute this row
HighTower Advisors, LLC	10,440 SH	16,913 dollars	Unchanged Prior quarter: 10,440	Open filing 0001085146-26-000933 Filed 2026-11-10 Dispute this row
GROUP ONE TRADING LLC	7,469 SH	12,100 dollars	Lower by 6,434 Prior quarter: 13,903	Open filing 0000932540-26-000017 Filed 2026-11-10 Dispute this row
GROUP ONE TRADING LLC Option: Put	3,000 SH	4,860 dollars	Not in the prior quarter’s filings read	Open filing 0000932540-26-000017 Filed 2026-11-10 Dispute this row
New England Capital Financial Advisors LLC	2,000 SH	3,240 dollars	Unchanged Prior quarter: 2,000	Open filing 0001964652-26-000005 Filed 2026-11-03 Dispute this row
SIMPLEX TRADING, LLC Option: Call	1,100 SH	1,782 dollars	Not in the prior quarter’s filings read	Open filing 0001488542-26-000013 Filed 2026-11-04 Dispute this row
SIMPLEX TRADING, LLC	985 SH	1,595 dollars	Lower by 9,506 Prior quarter: 10,491	Open filing 0001488542-26-000013 Filed 2026-11-04 Dispute this row
SBI Securities Co., Ltd.	719 SH	1,165 dollars	Higher by 9 Prior quarter: 710	Open filing 0001851815-26-000004 Filed 2026-10-22 Dispute this row
TD Waterhouse Canada Inc. Partly reported under another manager	500 SH	845 dollars	Not in the prior quarter’s filings read	Open filing 0002052595-26-000100 Filed 2026-10-16 Dispute this row
Wilmington Savings Fund Society, FSB Partly reported under another manager	500 SH	810 dollars	Unchanged Prior quarter: 500	Open filing 0000900974-26-000008 Filed 2026-10-23 Dispute this row
SIMPLEX TRADING, LLC Option: Put	200 SH	324 dollars	Higher by 100 Prior quarter: 100	Open filing 0001488542-26-000013 Filed 2026-11-04 Dispute this row
CKW FINANCIAL GROUP	200 SH	0 dollars	Unchanged Prior quarter: 200	Open filing 0001600403-26-000005 Filed 2026-10-29 Dispute this row
GROUP ONE TRADING LLC Option: Call	200 SH	324 dollars	Not in the prior quarter’s filings read	Open filing 0000932540-26-000017 Filed 2026-11-10 Dispute this row
BFC Planning, Inc.	50 SH	81 dollars	Unchanged Prior quarter: 50	Open filing 0001420506-26-002645 Filed 2026-11-13 Dispute this row
FMR LLC Partly reported under another manager	18 SH	29 dollars	Unchanged Prior quarter: 18	Open filing 0000315066-26-002964 Filed 2026-11-10 Dispute this row
Caitong International Asset Management Co., Ltd	11 SH	18 dollars	Higher by 10 Prior quarter: 1	Open filing 0001628280-26-068135 Filed 2026-10-29 Dispute this row
BARCLAYS PLC Partly reported under another manager	3 SH	5 dollars	Not in the prior quarter’s filings read	Open filing 0000312069-26-000241 Filed 2026-11-06 Dispute this row

Managers in the prior quarter with no filing read for the latest

They may simply not have filed yet: absent from the latest quarter’s filings read is not the same as a position sold.

VANGUARD CAPITAL MANAGEMENT LLC 1,005,701 SH
BlackRock, Inc. 496,493 SH
GSA CAPITAL PARTNERS LLP 295,141 SH
TWO SIGMA INVESTMENTS, LP 168,457 SH
Beartown Capital Management, LLC 146,689 SH
VANGUARD FIDUCIARY TRUST CO 133,459 SH
Marquette Asset Management, LLC 110,509 SH
NORTHERN TRUST CORP 60,333 SH
Rothschild Wealth LLC 40,000 SH
SUSQUEHANNA INTERNATIONAL GROUP, LLP 35,896 SH
CITADEL ADVISORS LLC 19,070 SH
UBS Group AG 18,015 SH
Covestor Ltd 12,426 SH
HRT FINANCIAL LP 11,983 SH
Scientech Research LLC 11,441 SH
Founders Capital Management 6,000 SH
Vanguard Global Advisers, LLC 5,500 SH
WELLS FARGO COMPANY/MN 2,019 SH
Steward Partners Investment Advisory, LLC 600 SH
NewEdge Advisors, LLC 50 SH
MORGAN STANLEY 21 SH

Form 13F covers long positions in Section 13(f) securities only: no short positions and no securities outside that list.
A manager that has not yet filed for the latest quarter is absent, not at zero; filings are due up to 45 days after quarter end.
A change is the difference between two quarter-end snapshots, not a trade.
A position reported under another manager may also appear in that manager’s filing; rows are not added together.
Holdings the securities list cannot place with this company, or places ambiguously, are not shown.

5% holders (Schedule 13D and 13G)

Schedules filed in the SEC’s structured format (late 2024 onward) are read here. Earlier schedules are free text and are not read.

5% holders, newest event first, as filed
Holder	Percent of class	Shares held	Event date	Form	Source
Grace White, Inc. COMMON STOCK	4.94	1,541,307.00	03/31/2026 Filed 2026-10-07	SCHEDULE 13G/AAmendment 6	Open filing 0000903064-26-000010 Dispute this row
Grace White, Inc. COMMON STOCK	5.02	1,541,307.00	03/31/2026 Filed 2026-04-06	SCHEDULE 13G/AAmendment 5	Open filing 0000903064-26-000005 Dispute this row
Grace White, Inc. COMMON STOCK	4.78	1,485,883.00	10/31/2025 Filed 2025-11-03	SCHEDULE 13G/AAmendment 4	Open filing 0000903064-25-000015 Dispute this row

Percent is of the class the filing names, as the holder stated it. Members of a group each report the group’s shares, so rows are not added together.

What was read

1,970,197 filings read, dated 2004-06-14 to 2026-11-13: Forms 3, 3/A, 4, 4/A, 5, 5/A.

Years can be incomplete while the archive is still being read. A year with few filings here is not a statement that few were made.

Filings read, by filing year
Filing year	Filings read
2015	1
2016	204,322
2017	202,494
2018	202,048
2019	193,638
2020	144,184
2021	224,474
2022	40,015
2023	199,811
2024	84,357
2025	235,520
2026	233,555

Filings made before the SEC required XML are listed, not extracted.

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