HUDSON TECHNOLOGIES INC NY

For the period ended Dec 31, 2023. Filed Mar 14, 2024.

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A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.

FY2023 · Filed Mar 14, 2024

HDSN$4.43+0.9%Stored close · as of Nov 10, 2026

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Contents

Item 15. -Exhibits and Financial Statement Schedules


Item 15.		Exhibits and Financial Statement Schedules
(A)(1)		Financial Statements
		The consolidated financial statements of Hudson Technologies, Inc. appear after Item 16 of this report
(A)(2)		Financial Statement Schedules
		None
(A)(3)		Exhibits
3.1		Certificate of Incorporation and Amendment. (1)
3.2		Amendment to Certificate of Incorporation, dated July 20, 1994. (1)
3.3		Amendment to Certificate of Incorporation, dated October 26, 1994. (1)
3.4		Certificate of Amendment of the Certificate of Incorporation dated March 16, 1999. (2)
3.5		Certificate of Correction of the Certificate of Amendment dated March 25, 1999. (2)
3.6		Certificate of Amendment of the Certificate of Incorporation dated March 29, 1999. (2)
3.7		Certificate of Amendment of the Certificate of Incorporation dated February 16, 2001. (3)
3.8		Certificate of Amendment of the Certificate of Incorporation dated March 20, 2002. (4)
3.9		Amendment to Certificate of Incorporation dated January 3, 2003. (5)
3.10		Amended and Restated By-Laws. (26)
3.11		Certificate of Amendment of the Certificate of Incorporation dated September 15, 2015. (14)
4.1		Description of Equity Securities. (24)
10.1		2004 Stock Incentive Plan. (7)*
10.2		Agreement with Brian F. Coleman, as amended. (9)*
10.3		2008 Stock Incentive Plan. (8)*
10.4		Form of Incentive Stock Option Agreement under the 2008 Stock Incentive Plan with full vesting upon issuance. (9)*
10.5		Form of Incentive Stock Option Agreement under the 2008 Stock Incentive Plan with options vesting in equal installments over two year period. (9)*
10.6		Form of Non-Incentive Stock Option Agreement under the 2008 Stock Incentive Plan with full vesting upon issuance. (9)*
10.7		Form of Non-Incentive Stock Option Agreement under the 2008 Stock Incentive Plan with options vesting in equal installments over two year period. (9)*
10.8		Long Term Care Insurance Plan Summary. (10)*
10.9		Amendment No. 1 to the Hudson Technologies, Inc. 2008 Stock Incentive Plan adopted October 22, 2013. (11) *
10.10		2014 Stock Incentive Plan (12)*
10.11		Form of Incentive Stock Option Agreement under the 2014 Stock Incentive Plan with full vesting upon issuance. (13)*
10.12		Form of Incentive Stock Option Agreement under the 2014 Stock Incentive Plan with options vesting in equal installments over two year period. (13)*
10.13		Form of Non-Incentive Stock Option Agreement under the 2014 Stock Incentive Plan with full vesting upon issuance. (13)*
10.14		Form of Non-Incentive Stock Option Agreement under the 2014 Stock Incentive Plan with options vesting in equal installments over two year period. (13)*
10.15		Form of Incentive Barrier Stock Option Agreement under the 2014 Stock Incentive Plan with full vesting upon issuance. (13)*
10.16		Form of Non-Incentive Barrier Stock Option Agreement under the 2014 Stock Incentive Plan with full vesting upon issuance. (13)*
10.17		Form of Incentive Barrier Stock Option Agreement under the 2008 Stock Incentive Plan with full vesting upon issuance. (13)*
10.18		Form of Non-Incentive Barrier Stock Option Agreement under the 2008 Stock Incentive Plan with full vesting upon issuance. (13)*
10.19		Amended and Restated Agreement with Brian Coleman (15)*
10.20		Agreement, dated September 5, 2016, between Hudson Technologies, Inc. and Nat Krishnamurti. (16)*
10.21		2018 Stock Incentive Plan (17)*
10.22		Form of Incentive Stock Option Agreement under the 2018 Stock Incentive Plan with full vesting upon issuance (18)*
10.23		Form of Incentive Stock Option Agreement under the 2018 Stock Incentive Plan with vesting in equal installments over a specified of time. (18)*

10.24		Form of Non-Qualified Stock Option Agreement under the 2018 Stock Incentive Plan with full vesting upon issuances (18)*
10.25		Form of Non-Qualified Stock Option Agreement under the 2018 Stock Incentive Plan with vesting in equal installments over a specified period of time. (18)*
10.26		Form of Non-Qualified Stock Option Agreement under the 2018 Stock Incentive Plan with conditional vesting provisions. (18)*
10.27		Second Amended and Restated Agreement dated as of September 20, 2019 between the Registrant and Brian F. Coleman (19)*
10.28		Amended and Restated Agreement dated as of September 20, 2019 between the Registrant and Nat Krishnamurti (19)*
10.29		Third Amended and Restated Agreement dated December 19, 2019 between the Registrant and Brian F. Coleman (20)*
10.30		Fourth Amended and Restated Agreement dated as of June 24, 2020 between the Registrant and Brian F. Coleman (21)*
10.31		Amended and Restated Agreement dated September 30, 2019 between the Company and Kathleen L. Houghton (22)*
10.32		Hudson Technologies, Inc. 2020 Stock Incentive Plan (23)*
10.33		Form of Incentive Stock Option Agreement under the 2020 Stock Incentive Plan with full vesting upon issuance (25)*
10.34		Form of Incentive Stock Option Agreement under the 2020 Stock Incentive Plan with vesting in equal installments over a specified period of time (25)*
10.35		Form of Non-Qualified Stock Option Agreement under the 2020 Stock Incentive Plan with full vesting upon issuance (25)*
10.36		Form of Non-Qualified Stock Option Agreement under the 2020 Stock Incentive Plan with vesting in equal installments over a specified period of time (25)*
10.37		Form of Non-Qualified Stock Option Agreement under the 2020 Stock Incentive Plan with conditional vesting provisions (25)*
10.38		Amended and Restated Credit Agreement dated March 2, 2022 by and among Wells Fargo Bank, National Association, as Agent, Hudson Technologies, Inc., and the Borrowers and Lenders party thereto (26)
10.39		First Amendment to Guaranty and Security Agreement dated March 2, 2022 by and among the Grantors named therein and Wells Fargo Bank, National Association, as Agent (26)
10.40		Form of Stock Appreciation Rights Award Agreement (27)
14		Code of Business Conduct and Ethics. (6)
21		Subsidiaries of the Company. (28)
23.1		Consent of BDO USA, P.C. (28)
31.1		Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. (28)
31.2		Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. (28)
32.1		Certification of the Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of Sarbanes-Oxley Act of 2002. (28)
32.2		Certification of the Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of Sarbanes-Oxley Act of 2002. (28)
97		Hudson Technologies, Inc. Clawback Policy (28)
101		Interactive data file pursuant to Rule 405 of Regulation S-T. (28)
(1)		Incorporated by reference to the comparable exhibit filed with the Company’s Registration Statement on Form SB-2 (No. 33-80279-NY).
(2)		Incorporated by reference to the comparable exhibit filed with the Company’s Quarterly Report on Form 10-QSB for the quarter ended June 30, 1999.
(3)		Incorporated by reference to the comparable exhibit filed with the Company’s Annual Report on Form 10-KSB for the year ended December 31, 2000.
(4)		Incorporated by reference to the comparable exhibit filed with the Company’s Annual Report on Form 10-KSB for the year ended December 31, 2001.
(5)		Incorporated by reference to the comparable exhibit filed with the Company’s Annual Report on Form 10-KSB for the year ended December 31, 2002.
(6)		Incorporated by reference to the comparable exhibit filed with the Company’s Current Report on Form 8-K, for the event dated March 3, 2005, and filed May 31, 2005.
(7)		Incorporated by reference to Appendix B to the Company’s Definitive Proxy Statement on Schedule 14A filed August 18, 2004.
(8)		Incorporated by reference to Appendix I to the Company’s Definitive Proxy Statement on Schedule 14A filed July 29, 2008.

(9)		Incorporated by reference to the comparable exhibit filed with the Company’s Annual Report on Form 10-K for the year ended December 31, 2008.
(10)		Incorporated by reference to the comparable exhibit filed with the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2012.
(11)		Incorporated by reference to the comparable exhibit filed with the Company’s Annual Report on Form 10-K for the year ended December 31, 2013.
(12)		Incorporated by reference to Appendix B to the Company’s Definitive Proxy Statement on Schedule 14A filed August 12, 2014.
(13)		Incorporated by reference to the comparable exhibit filed with the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2014.
(14)		Incorporated by reference to the comparable exhibit filed with the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2015.
(15)		Incorporated by reference to the comparable exhibit filed with the Company Annual Report on form 10-K for the year ended December 31, 2015.
(16)		Incorporated by reference to the comparable exhibit filed with the Company’s Current Report on Form 8-K filed September 9, 2016.
(17)		Incorporated by reference to the comparable exhibit filed with the Company’s Registration Statement on Form S-8 filed December 21, 2018.
(18)		Incorporated by reference to the comparable exhibit filed with the Company’s Annual Report on Form 10-K for the year ended December 31, 2018.
(19)		Incorporated by reference to the comparable exhibit filed with the Company’s Current Report on Form 8-K filed September 23, 2019.
(20)		Incorporated by reference to the comparable exhibit filed with the Company’s Current Report on Form 8-K filed December 20, 2019.
(21)		Incorporated by reference to the comparable exhibit filed with the Company’s Current Report on Form 8-K filed July 20, 2020.
(22)		Incorporated by reference to the comparable exhibit filed with the Company’s Current Report on Form 8-K filed September 16, 2020.
(23)		Incorporated by reference to the comparable exhibit filed with the Company’s Registration Statement on Form S-8 filed June 30, 2020.
(24)		Incorporated by reference to the comparable exhibit filed with the Company’s Annual Report on Form 10-K filed March 13, 2020.
(25)		Incorporated by reference to the comparable exhibit filed with the Company’s Annual Report on Form 10-K filed March 12, 2021.
(26)		Incorporated by reference to the comparable exhibit filed with the Company’s Current Report on Form 8-K filed March 3, 2022.
(27)		Incorporated by reference to the comparable exhibit filed with the Company’s Annual Report on Form 10-K filed March 24, 2022.
(28)		Filed herewith.

(*)		Denotes Management Compensation Plan, agreement or arrangement.

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