Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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| UNITED STATES | ||
| SECURITIES AND EXCHANGE COMMISSION | ||
| Washington, D.C. 20549 | ||
SCHEDULE 13G/A
Under the
Securities Exchange Act of 1934
(Amendment No. 1)*
FUELCELL ENERGY, INC.
(Name of Issuer)
Common Stock, $0.0001 par value per share
(Title of Class of Securities)
35952H502
(CUSIP Number)
July 13, 2020
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
| o | Rule 13d-1(b) |
| x | Rule 13d-1(c) |
| o | Rule 13d-1(d) |
*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
13G/A
Explanatory Note
This amendment is being filed by the reporting person on a voluntary basis to update the reporting person’s beneficial ownership as of July 13, 2020.
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| CUSIP No. 35952H502 | |||||
| 1. | Names
of Reporting Persons Lawrence I. Rosen | ||||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | ||||
| (a) | o | ||||
| (b) | o | ||||
| 3. | SEC Use Only | ||||
| 4. | Citizenship
or Place of Organization United States | ||||
| Number
of Shares Beneficially Owned by Each Reporting Person With |
5. | Sole
Voting Power 12,008,870 | |||
| 6. | Shared Voting Power | ||||
| 7. | Sole
Dispositive Power 12,008,870 | ||||
| 8. | Shared Dispositive Power | ||||
| 9. | Aggregate
Amount Beneficially Owned by Each Reporting Person 12,008,870 | ||||
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | ||||
| 11. | Percent
of Class Represented by Amount in Row (9) 5.7%1 | ||||
| 12. | Type
of Reporting Person (See Instructions) IN - Individual | ||||
1 Based upon 211,058,085 shares of the Issuer’s Common Stock outstanding as of June 5, 2020, as reported in the Issuer’s Quarterly Report on Form 10-Q for the quarterly period ended April 30, 2020 filed with the Securities and Exchange Commission on June 12, 2020.
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| Item 1. | |||
| (a) | Name
of Issuer FUELCELL ENERGY, INC. | ||
| (b) | Address
of Issuer’s Principal Executive Offices Danbury, Connecticut 06810. | ||
| Item 2. | |||
| (a) | Name
of Person Filing Lawrence I. Rosen (“Mr. Rosen”) | ||
| (b) | Address
of Principal Business Office or, if none, Residence | ||
| (c) | Citizenship United States | ||
| (d) | Title
and Class of Securities Common Stock, $0.0001 par value per share | ||
| (e) | CUSIP
Number 35952H502 | ||
| Item 3. | If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: | ||
| (a) | o | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); | |
| (b) | o | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); | |
| (c) | o | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); | |
| (d) | o | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); | |
| (e) | o | An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); | |
| (f) | o | An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F); | |
| (g) | o | A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G); | |
| (h) | o | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); | |
| (i) | o | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); | |
| (j) | o | A non-U.S. institution in accordance with § 240.13d–1(b)(1)(ii)(J); | |
| (k) | o | Group, in accordance with § 240.13d–1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with § 240.13d–1(b)(1)(ii)(J), please specify the type of institution:____________________________ | |
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| Item 4. | Ownership | ||
| Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. | |||
| (a) | Amount beneficially owned: 12,008,870 shares | ||
| (b) | Percent of class: 5.7% Based upon 211,058,085 shares of the Issuer’s Common Stock outstanding as of June 5, 2020, as reported in the Issuer’s Quarterly Report on Form 10-Q for the quarterly period ended April 30, 2020 filed with the Securities and Exchange Commission on June 12, 2020. | ||
| (c) | Number of shares as to which the person has:
| ||
| (i) | Sole power to vote or to direct the vote 12,008,870 | ||
| (ii) | Shared power to vote or to direct the vote
| ||
| (iii) | Sole power to dispose or to direct the disposition of 12,008,870 | ||
| (iv) | Shared power to dispose or to direct the disposition of
| ||
| Item 5. | Ownership of Five Percent or Less of a Class | ||
| If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following o. | |||
| Item 6. | Ownership of More than Five Percent on Behalf of Another Person | ||
Not applicable. | |||
| Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person | ||
Not applicable. | |||
| Item 8. | Identification and Classification of Members of the Group | ||
Not applicable. | |||
| Item 9. | Notice of Dissolution of Group | ||
Not applicable. | |||
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| Item 10. | Certification |
| By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11. | |
Signature
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
| July 13, 2020 | |
| Date | |
| /s/ Lawrence I. Rosen | |
| Signature | |
| Lawrence I. Rosen | |
| Name |
| ATTENTION | ||
| Intentional misstatements or omissions of fact constitute Federal Criminal Violations (See 18 U.S.C. 1001). | ||
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