SEC FORM
3
SEC Form 3
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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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| OMB APPROVAL |
| OMB Number: |
3235-0104 |
| Estimated average burden |
| hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
| 14651 NORTH DALLAS PARKWAY, |
| SUITE 500 |
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year)
11/04/2021
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3. Issuer Name and Ticker or Trading Symbol
CECO ENVIRONMENTAL CORP
[ CECE ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
| X |
Director |
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10% Owner |
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Officer (give title below) |
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Other (specify below) |
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Beneficially Owned |
|---|
| 1. Title of Security (Instr.
4)
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2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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| Common Stock |
30,000 |
D |
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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|---|
| 1. Title of Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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6. Nature of Indirect Beneficial Ownership (Instr.
5)
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| Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Explanation of Responses: |
| Remarks: |
|
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/s/ Paul M. Gohr, Attorney-in-Fact for Richard F. Wallman |
11/08/2021 |
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** 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
5
(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. |
Power of Attorney
Know all by these presents, that the undersigned hereby
makes, constitutes and appoints each of Paul Gohr and Matthew Eckl or either of
them acting singly, and with full power of substitution and re-substitution, the
undersigned's true and lawful attorney in fact (each of such persons and their
substitutes being referred to herein as the "Attorney-in-Fact"), with full power
to act for the undersigned and in the undersigned's name, place and stead, in
any and all capacities, to:
1. Prepare, execute and submit to the Securities Exchange
Commission (the "SEC"), CECO Environmental Corp., a Delaware Corporation (the
"Company"), and/or any national securities exchange on which the Company's
securities are listed any and all reports (including any amendments thereto) the
undersigned is required to file with the SEC, or which the Attorney-in-Fact
considers it advisable to file with the SEC, under Section 13 or Section 16 of
the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or any
rule or regulation thereunder, or under Rule 144 under the Securities Act of
1933 ("Rule 144"), with respect to the any security of the Company, including
Forms 3, 4 and 5, Schedules 13D and 13G, and Forms 144; and
2. Obtain, as the undersigned's representative and on the
undersigned's behalf, information regarding transactions in the Company's equity
securities from any third party, including the Company and any brokers, dealers,
employee benefit plan administrators and trustees, and the undersigned hereby
authorizes any such third party to release any such information to the Attorney-
in-Fact.
The undersigned acknowledges that:
a) This Power of Attorney authorizes, but does not require, the
Attorney-in-Fact to act in his or her discretion on information provided to such
Attorney-in-Fact without independent verification of such information;
b) Any documents prepared or executed by the Attorney-in-Fact on
behalf of the undersigned pursuant to this Power of Attorney will be in such
form and will contain such information as the Attorney-in-Fact, in his or her
discretion, deems necessary or desirable;
c) Neither the Company nor the Attorney-in-Fact assumes any
liability for the undersigned's responsibility to comply with the requirements
of Section 13 or Section 16 of the Exchange Act or Rule 144, any liability of
the undersigned for any failure to comply with such requirements, or any
liability of the undersigned for disgorgement of profits under Section 16(b) of
the Exchange Act; and
d) This Power of Attorney does not relieve the undersigned
from responsibility for compliance with the undersigned's obligations under
Section 13 or Section 16 of the Exchange Act, including, without limitation, the
reporting requirements under Section 13 or Section 16 of the Exchange Act.
The undersigned hereby grants to the Attorney-in-Fact full power
and authority to do and perform each and every act and thing requisite,
necessary or advisable to be done in connection with the foregoing, as fully, to
all intents and purposes, as the undersigned might or could do in person, hereby
ratifying and confirming all that the Attorney-in-Fact, or his or her substitute
or substitutes, shall lawfully do or cause to be done by authority of this Power
of Attorney.
This Power of Attorney shall remain in full force and effect until
the undersigned is no longer required to file Forms 4 or 5 or Schedules 13D or
13G or Forms 144 with respect to the undersigned's holdings of and transactions
in securities of the Company, unless earlier revoked by the undersigned in a
signed writing delivered to the Attorney-in-Fact. This Power of Attorney revokes
all previous powers of attorney with respect to the subject matter of this Power
of Attorney.
IN WITNESS WHEREOF, the undersigned has executed this Power
of Attorney as of November 2, 2021.
Richard F. Wallman
/s/ Richard F. Wallman
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