-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, JU7fzZQryFIeAOhHXZgmWi31N0tvkqJLTiv2AAxKDuyTiuzQFU8958msYGs96y+T hdtpbiboyW+Gp/GWeTlMSg== 0001140361-10-042088.txt : 20101025 0001140361-10-042088.hdr.sgml : 20101025 20101022215038 ACCESSION NUMBER: 0001140361-10-042088 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20101025 DATE AS OF CHANGE: 20101022 GROUP MEMBERS: ECP II INTERFUND L.P. GROUP MEMBERS: ECP II MANAGEMENT L.P. GROUP MEMBERS: ECP II MANAGEMENT LLC GROUP MEMBERS: MARK J. DENINO GROUP MEMBERS: ROBERT E. KEITH, JR. GROUP MEMBERS: SCOTT B. UNGERER GROUP MEMBERS: WILLIAM G. KINGSLEY SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CLEAN DIESEL TECHNOLOGIES INC CENTRAL INDEX KEY: 0000949428 STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL INORGANIC CHEMICALS [2810] IRS NUMBER: 061393453 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-51147 FILM NUMBER: 101138199 BUSINESS ADDRESS: STREET 1: 10 MIDDLE STREET STREET 2: SUITE 1100 CITY: BRIDGEPORT STATE: CT ZIP: 06604 BUSINESS PHONE: 2034165290 MAIL ADDRESS: STREET 1: 10 MIDDLE STREET STREET 2: SUITE 1100 CITY: BRIDGEPORT STATE: CT ZIP: 06604 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: EnerTech Capital Partners II, L.P. CENTRAL INDEX KEY: 0001292175 IRS NUMBER: 233020217 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 435 DEVON PARK DR, BUILDING 700 CITY: WAYNE STATE: PA ZIP: 19087 BUSINESS PHONE: 610-254-4141 MAIL ADDRESS: STREET 1: 435 DEVON PARK DR, BUILDING 700 CITY: WAYNE STATE: PA ZIP: 19087 SC 13G 1 formsc13g.htm ENERTECH CAPITAL PARTNERS II SC 13G 10-15-2010 formsc13g.htm


SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549

SCHEDULE 13G

(Rule 13d-102)

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO §240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO §240.13d-2.
 
(Amendment No. _)*

Clean Diesel Technologies, Inc.
(Name of Issuer)
 
Common Stock, par value $0.01 per share
(Title of Class of Securities)
 
18449C 401
(CUSIP Number)
 
October 15, 2010
(Date of Event which Requires Filing of this Statement)
 

 
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
 
 
¨
Rule 13d-1(b)
 
 
ý
Rule 13d-1(c)
 
 
¨
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 disclosures provided in a prior cover page.

The information required on 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 (the “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).
 


 
 

 
 
SCHEDULE 13G
 
CUSIP No. 18449C 401
 
Page 2 of 15 Pages
 
1
NAMES OF REPORTING PERSONS
 
EnerTech Capital Partners II L.P (“ECP II”)
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
 
(a) o
 
(b) x
3
SEC USE ONLY
 
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Delaware
 
NUMBER OF
 
SHARES
   5   
SOLE VOTING POWER
 
358,339 common shares (“shares”), (which includes 13,058 shares issuable upon exercise of warrants), except that ECP II Management, L.P. (“EM II LP”), the general partner of ECP II, and ECP II Management, LLC (“EM II LLC”), the general partner of EM II LP, may be deemed to have sole power to vote these shares, and William G. Kingsley (“Kingsley”), Scott B. Ungerer (“Ungerer”), Robert E. Keith, Jr. (“Keith”), and Mark J. DeNino (“DeNino”), the members of the executive board of EM II LLC, may be deemed to have shared power to vote these shares.
 
BENEFICIALLY
6
SHARED VOTING POWER
 
         
OWNED BY
 
See response to row 5
 
EACH
 
REPORTING
7
SOLE DISPOSITIVE POWER
 
358,339 shares (which includes 13,058 shares issuable upon exercise of warrants), except that EM II LP, the general partner of ECP II, and EM II LLC, the general partner of EM II LP, may be deemed to have sole power to dispose of these shares, and Kingsley, Ungerer,  Keith, and DeNino, the members of the executive board of EM II LLC, may be deemed to have shared power to dispose of these shares.
 
PERSON
 
WITH
8
SHARED DISPOSITIVE POWER
 
See response to row 7
 
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
358,339 shares
 
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
 
o
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
9.42%
 
12
TYPE OF REPORTING PERSON
 
PN
 

 
 

 

SCHEDULE 13G
 
CUSIP No. 18449C 401
 
Page 3 of 15 Pages

1
NAMES OF REPORTING PERSONS
 
ECP II Management L.P (“EM II LP”)
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
 
(a) o
 
(b) x
3
SEC USE ONLY
 
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Delaware
 
NUMBER OF
 
SHARES
   5   
SOLE VOTING POWER
 
358,339 shares (which includes 13,058 shares issuable upon exercise of warrants), all of which are directly owned by ECP II, except that EM II LLC, the general partner of EM II LP, may be deemed to have sole power to vote these shares, and Kingsley, Ungerer, Keith, and DeNino, the members of the executive board of EM II LLC, may be deemed to have shared power to vote these shares.
 
BENEFICIALLY
6
SHARED VOTING POWER
 
         
OWNED BY
 
See response to row 5
 
EACH
 
REPORTING
7
SOLE DISPOSITIVE POWER
 
358,339 shares (which includes 13,058 shares issuable upon exercise of warrants), all of which are directly owned by ECP II, except that EM II LLC, the general partner of EM II LP, may be deemed to have sole power to dispose of these shares, and Kingsley, Ungerer, Keith, and DeNino, the members of the executive board of EM II LLC, may be deemed to have shared power to dispose of these shares.
 
PERSON
 
WITH
8
SHARED DISPOSITIVE POWER
 
See response to row 7
 
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
358,339 shares
 
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
 
o
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
9.42%
 
12
TYPE OF REPORTING PERSON
 
PN
 

 
 

 
 
SCHEDULE 13G
 
CUSIP No. 18449C 401
 
Page 4 of 15 Pages
 
1
NAMES OF REPORTING PERSONS
 
ECP II Interfund L.P. (“EI II”)
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
 
 
(a) o
 
(b) x
3
SEC USE ONLY
 
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Delaware
 
NUMBER OF
 
SHARES
   5   
SOLE VOTING POWER
 
13,668 shares (which includes 610 shares issuable upon exercise of warrants), except that EM II LLC, the general partner of EI II, may be deemed to have sole power to vote these shares, and Kingsley, Ungerer, Keith, and DeNino, the members of the executive board of EM II LLC, may be deemed to have shared power to vote these shares.
 
BENEFICIALLY
6
SHARED VOTING POWER
 
         
OWNED BY
 
See response to row 5
 
EACH
 
REPORTING
7
SOLE DISPOSITIVE POWER
 
13,668 shares (which includes 610 shares issuable upon exercise of warrants), except that EM II LLC, the general partner of EI II, may be deemed to have sole power to dispose of these shares, and Kingsley, Ungerer, Keith, and DeNino, the members of the executive board of EM II LLC, may be deemed to have shared power to dispose of these shares.
 
PERSON
 
WITH
8
SHARED DISPOSITIVE POWER
 
See response to row 7
 
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
13,668 shares
 
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
 
o
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.36%
 
 
12
TYPE OF REPORTING PERSON
 
PN
 

 
 

 

SCHEDULE 13G
 
CUSIP No. 18449C 401
 
Page 5 of 15 Pages

1
NAMES OF REPORTING PERSONS
 
ECP II Management LLC (“EM II LLC”)
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
 
(a) o
 
(b) x
3
SEC USE ONLY
 
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Delaware
 
NUMBER OF
 
SHARES
   5   
SOLE VOTING POWER
 
372,007 shares, of which 358,339 shares (including 13,058 shares issuable upon exercise of warrants) are directly owned by ECP II and 13,668 shares (including 610 shares issuable upon exercise of warrants) are directly owned by EI II.  EM II LLC, the general partner of EI II and of EM II LP, which in turn is the general partner of ECP II, may be deemed to have sole power to vote these shares, and Kingsley, Ungerer, Keith and DeNino, the members of the executive board of EM II LLC, may be deemed to have shared power to vote these shares.
 
BENEFICIALLY
6
SHARED VOTING POWER
 
         
OWNED BY
 
See response to row 5
 
EACH
 
REPORTING
7
SOLE DISPOSITIVE POWER
 
372,007 shares, of which 358,339 shares (including 13,058 shares issuable upon exercise of warrants) are directly owned by ECP II and 13,668 shares (including 610 shares issuable upon exercise of warrants) are directly owned by EI II.  EM II LLC, the general partner of EI II and of EM II LP, which in turn is the general partner of ECP II, may be deemed to have sole power to dispose of these shares, and Kingsley, Ungerer, Keith and DeNino, the members of the executive board of EM II LLC, may be deemed to have shared power to dispose of these shares.
 
PERSON
 
WITH
8
SHARED DISPOSITIVE POWER
 
See response to row 7
 
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
372,007 shares
 
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
 
o
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
9.78%
 
12
TYPE OF REPORTING PERSON
 
OO
 

 
 

 
 
SCHEDULE 13G
 
CUSIP No. 18449C 401
 
Page 6 of 15 Pages
 
1
NAMES OF REPORTING PERSONS
 
Scott B. Ungerer (“Ungerer”)
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
 
(a) o
 
(b) x
3
SEC USE ONLY
 
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
 
U.S. citizen
 
NUMBER OF
   5   
SOLE VOTING POWER
 
         
SHARES
 
0 shares
 
BENEFICIALLY
 
OWNED BY
6
SHARED VOTING POWER
 
372,007 shares, of which 358,339 shares (including 13,058 shares issuable upon exercise of warrants) are directly owned by ECP II and 13,668 shares (including 610 shares issuable upon exercise of warrants) are directly owned by EI II.  Ungerer, a member of the executive board of EM II LLC, which is the general partner of EI II LP and of EM II LP, which is the general partner of ECP II, may be deemed to have shared power to vote these shares.
 
EACH
 
REPORTING
7
SOLE DISPOSITIVE POWER
 
0 shares
 
PERSON
 
WITH
8
SHARED DISPOSITIVE POWER
 
372,007 shares, of which 358,339 shares (including 13,058 shares issuable upon exercise of warrants) are directly owned by ECP II and 13,668 shares (including 610 shares issuable upon exercise of warrants) are directly owned by EI II.  Ungerer, a member of the executive board of EM II LLC, which is the general partner of EI II LP and of EM II LP, which is the general partner of ECP II, may be deemed to have shared power to dispose of these shares.
 
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
372,007 shares
 
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
 
o
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
9.78%
 
12
TYPE OF REPORTING PERSON
 
IN
 

 
 

 
 
SCHEDULE 13G
 
CUSIP No. 18449C 401
 
Page 7 of 15 Pages
 
1
NAMES OF REPORTING PERSONS
 
William G. Kingsley (“Kingsley”)
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
 
(a) o
 
(b) x
3
SEC USE ONLY
 
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
 
U.S. citizen
 
NUMBER OF
   5   
SOLE VOTING POWER
 
         
SHARES
 
0 shares
 
BENEFICIALLY
 
OWNED BY
6
SHARED VOTING POWER
 
372,007 shares, of which 358,339 shares (including 13,058 shares issuable upon exercise of warrants) are directly owned by ECP II and 13,668 shares (including 610 shares issuable upon exercise of warrants) are directly owned by EI II.  Kingsley, a member of the executive board of EM II LLC, which is the general partner of EI II LP and of EM II LP, which is the general partner of ECP II, may be deemed to have shared power to vote these shares.
 
EACH
 
REPORTING
7
SOLE DISPOSITIVE POWER
 
0 shares
 
PERSON
 
WITH
8
SHARED DISPOSITIVE POWER
 
372,007 shares, of which 358,339 shares (including 13,058 shares issuable upon exercise of warrants) are directly owned by ECP II and 13,668 shares (including 610 shares issuable upon exercise of warrants) are directly owned by EI II.  Kingsley, a member of the executive board of EM II LLC, which is the general partner of EI II LP and of EM II LP, which is the general partner of ECP II, may be deemed to have shared power to dispose of these shares.
 
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
372,007 shares
 
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
 
o
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
9.78%
 
12
TYPE OF REPORTING PERSON
 
IN
 

 
 

 
 
SCHEDULE 13G
 
CUSIP No. 18449C 401
 
Page 8 of 15 Pages
 
1
NAMES OF REPORTING PERSONS
 
Robert E. Keith, Jr. (“Keith”)
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
 
(a) o
 
(b) x
3
SEC USE ONLY
 
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
 
U.S. citizen
 
NUMBER OF
   5   
SOLE VOTING POWER
 
         
SHARES
 
0 shares
 
BENEFICIALLY
 
OWNED BY
6
SHARED VOTING POWER
 
372,007 shares, of which 358,339 shares (including 13,058 shares issuable upon exercise of warrants) are directly owned by ECP II and 13,668 shares (including 610 shares issuable upon exercise of warrants) are directly owned by EI II.  Keith, a member of the executive board of EM II LLC, which is the general partner of EI II LP and of EM II LP, which is the general partner of ECP II, may be deemed to have shared power to vote these shares.
 
EACH
 
REPORTING
7
SOLE DISPOSITIVE POWER
 
0 shares
 
PERSON
 
WITH
8
SHARED DISPOSITIVE POWER
 
372,007 shares, of which 358,339 shares (including 13,058 shares issuable upon exercise of warrants) are directly owned by ECP II and 13,668 shares (including 610 shares issuable upon exercise of warrants) are directly owned by EI II.  Keith, a member of the executive board of EM II LLC, which is the general partner of EI II LP and of EM II LP, which is the general partner of ECP II, may be deemed to have shared power to dispose of these shares.
 
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
372,007 shares
 
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
 
o
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
9.78%
 
12
TYPE OF REPORTING PERSON
 
IN
 

 
 

 
 
SCHEDULE 13G
 
CUSIP No. 18449C 401
 
Page 9 of 15 Pages
 
1
NAMES OF REPORTING PERSONS
 
Mark J. DeNino (“DeNino”)
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
 
(a) o
 
(b) x
3
SEC USE ONLY
 
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
 
U.S. citizen
 
NUMBER OF
   5   
SOLE VOTING POWER
 
         
SHARES
 
0 shares
 
BENEFICIALLY
 
OWNED BY
6
SHARED VOTING POWER
 
372,007 shares, of which 358,339 shares (including 13,058 shares issuable upon exercise of warrants) are directly owned by ECP II and 13,668 shares (including 610 shares issuable upon exercise of warrants) are directly owned by EI II.  DeNino, a member of the executive board of EM II LLC, which is the general partner of EI II LP and of EM II LP, which is the general partner of ECP II, may be deemed to have shared power to vote these shares.
 
EACH
 
REPORTING
7
SOLE DISPOSITIVE POWER
 
0 shares
 
PERSON
 
WITH
8
SHARED DISPOSITIVE POWER
 
372,007 shares, of which 358,339 shares (including 13,058 shares issuable upon exercise of warrants) are directly owned by ECP II and 13,668 shares (including 610 shares issuable upon exercise of warrants) are directly owned by EI II.  DeNino, a member of the executive board of EM II LLC, which is the general partner of EI II LP and of EM II LP, which is the general partner of ECP II, may be deemed to have shared power to dispose of these shares.
 
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
372,007 shares
 
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
 
o
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
9.78%
 
12
TYPE OF REPORTING PERSON
 
IN
 

 
 

 

SCHEDULE 13G
 
CUSIP No. 18449C 401
 
Page 10 of 15 Pages

Item 1(a)
Name of Issuer:

Clean Diesel Technologies, Inc., a Delaware corporation (“CDTI” or the “Issuer”).

Item 1(b)
Address of Issuer’s Principal Executive Offices:

4567 Telephone Road
Suite 206
Ventura, CA 93003

Item 2(a)
Names of Persons Filing:

The Statement is filed on behalf of each of the following persons (collectively, the “Reporting Persons”):

 
(i)
EnerTech Capital Partners II L.P (“ECP II”);
 
(ii)
ECP II Management L.P (“EM II LP”);
 
(iii)
ECP II Interfund L.P. (“EI II”);
 
(iii)
ECP II Management LLC (“EM II LLC”);
 
(iv)
Scott B. Ungerer (“Ungerer”);
 
(v)
William G. Kingsley (“Kingsley”);
 
(vi)
Robert E. Keith (“Keith”); and
 
(vii)
Mark J. DeNino (“DeNino”).

This statement relates to Common Stock (as defined herein) held for the account of ECP II and EI II.  EM II LP is the general partner of ECP II.  EM II LLC is the general partner of EM II LP and EI II.  Ungerer, Kingsley, Keith and DeNino are the sole members of the executive board of EM II LLC (in such capacity, collectively the “Members”).

Item 2(b)
Address of Principal Business Office or, if None, Residence:

The business office of each reporting person is:

Building D, Suite 105
625 W. Ridge Pike
Conshohocken, PA 19428

Item 2(c)
Citizenship:
 
 
(i)
ECP II is a Delaware limited partnership;
 
(ii)
EM II LP is a Delaware limited partnership;
 
(iii)
EI II is a Delaware limited partnership
 
(iv)
EM II LLC is a Delaware limited liability company;
 
(v)
Ungerer is a U.S. citizen;
 
(vi)
Kingsley is a U.S. citizen;
 
(vii)
Keith is a U.S. citizen; and
 
(viii)
DeNino is a U.S. citizen.

 
 

 
SCHEDULE 13G
 
CUSIP No. 18449C 401
 
Page 11 of 15 Pages

Item 2(d)
Title of Class of Securities:

Common stock, par value $0.01 per share (“Common Stock”).

Item 2(e)
CUSIP Number:

18449C 401

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:
 
This Item 3 is not applicable.

Item 4(a)
Amount Beneficially Owned:

As of the date hereof:

(i)            ECP II  and EM II LP may be deemed to be the beneficial owners of 358,339 shares of Common Stock (including (A) 342,329 outstanding shares of Common Stock and (B) 16,010 shares of Common Stock issuable upon exercise of warrants beneficially owned by such Reporting Persons);

(ii)           EI II may be deemed to be the beneficial owner of 13,668 shares of outstanding Common Stock; (including (A) 13,058 outstanding shares of Common Stock and (B) 610 shares of Common Stock issuable upon exercise of warrants beneficially owned by such Reporting Person); and

(iii)          EM II LLC and each of the Members may be deemed to be the beneficial owners of 372,007 shares of Common Stock (including (A) 355,387 outstanding shares of Common Stock and (B) 16,620 shares of Common Stock issuable upon exercise of warrants beneficially owned by such Reporting Persons).

All such Common Stock is held directly by ECP II and EI II in the amounts set forth above.  All of the Reporting Persons other than ECP II and EI II disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such reporting person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Item 4(b)
Percent of Class:
 
As of the date hereof, assuming full exercise of the warrants beneficially owned by the Reporting Persons:

(i)            ECP II and EM II LP may be deemed to be the beneficial owners of approximately 9.42% of the total number of shares of Common Stock outstanding;

(ii)           EI II may be deemed to be the beneficial owner of approximately 0.36% of the total number of shares of Common Stock outstanding; and

 
 

 

SCHEDULE 13G
 
CUSIP No. 18449C 401
 
Page 12 of 15 Pages

(iii)           EM II LLC and each of the Members may be deemed to be the beneficial owners of approximately 9.78% of the total number of shares of Common Stock outstanding;

in each case based on the total number of outstanding shares of Common Stock as reported by CDTI to the Reporting Persons.
 
Item 4(c)
Number of shares as to which such person has:

ECP II and EM II LP:
(i)
Sole power to vote or direct the vote:
358,339
(ii)
Shared power to vote or to direct the vote:
0
(iii)
Sole power to dispose or to direct the disposition of:
358,339
(iv)
Shared power to dispose or to direct the disposition of:
0

EI II:
(i)
Sole power to vote or direct the vote:
13,668
(ii)
Shared power to vote or to direct the vote:
0
(iii)
Sole power to dispose or to direct the disposition of:
13,668
(iv)
Shared power to dispose or to direct the disposition of:
0

EM II LLC and each of the Members:
(i)
Sole power to vote or direct the vote:
0
(ii)
Shared power to vote or to direct the vote:
372,007
(iii)
Sole power to dispose or to direct the disposition of:
0
(iv)
Shared power to dispose or to direct the disposition of:
372,007

Item 5
Ownership of Five Percent or Less of a Class.

Not applicable.

Item 6
Ownership of More than Five Percent on Behalf of Another Person.

Under certain circumstances, set forth in the limited partnership agreements of ECP II, EI II and EM II LP, and the limited liability company agreement of EM II LLC, the general and limited partners or members, as the case may be, of each of such entities may be deemed to have the right to receive dividends from, or the proceeds from, the sale of shares of the issuer owned by each such entity of which they are a partner or member.

Item 7
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.

Not applicable.

Item 8
Identification and Classification of Members of the Group.

Not applicable.

 
 

 
 
SCHEDULE 13G
 
CUSIP No. 18449C 401
 
Page 13 of 15 Pages

Item 9
Notice of Dissolution of Group.

Not applicable.

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.

 
 

 
 
SCHEDULE 13G
 
CUSIP No. 18449C 401
 
Page 14 of 15 Pages

 
SIGNATURE
 
After reasonable inquiry and to the best of my knowledge and belief, the undersigned hereby certifies that the information set forth in this statement is true, complete and correct.
 
 
Dated:  October 22, 2010
EnerTech Capital Partners II, L.P.
 
By:
ECP II Management L.P., its General Partner
 
By:
ECP II Management LLC, its General Partner
     
 
By:
/s/ Colleen Pale, Attorney-in-Fact*
     
 
ECP II Management L.P.
 
By:
ECP II Management LLC, its General Partner
     
 
By:
/s/ Colleen Pale, Attorney-in-Fact*
     
 
ECP II Management LLC
   
 
By:
/s/ Colleen Pale, Attorney-in-Fact*
     
 
ECP II Interfund L.P.
 
By:
ECP II Management LLC, its General Partner
     
 
By:
/s/ Colleen Pale, Attorney-in-Fact*
     
 
Scott B. Ungerer
     
 
By:
/s/ Colleen Pale, Attorney-in-Fact*
   
 
 
William Kingsley
     
 
By:
/s/ Colleen Pale, Attorney-in-Fact*
     
 
Robert E. Keith, Jr.
     
 
By:
/s/ Pamela Strisofsky, Attorney-in-Fact*
     
 
Mark J. DeNino
     
 
By:
/s/ Pamela Strisofsky, Attorney-in-Fact*

___________________________

*Signed pursuant to at Power of Attorney filed as an Exhibit to this Schedule 13G.

 
 

 
 
SCHEDULE 13G
 
CUSIP No. 18449C 401
 
Page 15 of 15 Pages

 
EXHIBIT INDEX
 

Joint Filing Agreement, dated as of October 22, 2010, among the Reporting Persons.  Filed herewith.

Power of Attorney of the Reporting Persons, dated as of October 19, 2010.  Filed herewith.
 
 

EX-1 2 ex1.htm EXHIBIT 1 ex1.htm

Exhibit 1


JOINT FILING AGREEMENT

The undersigned hereby agree that the Schedule 13G with respect to the Common Stock, par value $0.01 per share, of Clean Diesel Technologies, Inc., dated as of October 22, 2010, is, and any amendments thereto (including amendments on Schedule 13D) signed by each of the undersigned shall be, filed on behalf of each of us pursuant to and in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934.
 
 
Dated:  October 22, 2010
EnerTech Capital Partners II, L.P.
 
By:
ECP II Management L.P., its General Partner
 
By:
ECP II Management LLC, its General Partner
     
 
By:
/s/ Colleen Pale, Attorney-in-Fact*
     
 
ECP II Management L.P.
 
By:
ECP II Management LLC, its General Partner
     
 
By:
/s/ Colleen Pale, Attorney-in-Fact*
     
 
ECP II Management LLC
   
 
By:
/s/ Colleen Pale, Attorney-in-Fact*
     
 
ECP II Interfund L.P.
 
By:
ECP II Management LLC, its General Partner
     
 
By:
/s/ Colleen Pale, Attorney-in-Fact*
     
 
Scott B. Ungerer
     
 
By:
/s/ Colleen Pale, Attorney-in-Fact*
   
 
 
William Kingsley
     
 
By:
/s/ Colleen Pale, Attorney-in-Fact*
     
 
Robert E. Keith, Jr.
     
 
By:
/s/ Pamela Strisofsky, Attorney-in-Fact*
     
 
Mark J. DeNino
     
 
By:
/s/ Pamela Strisofsky, Attorney-in-Fact*
___________________________

*Signed pursuant to at Power of Attorney filed as an Exhibit to this Schedule 13G of which this Exhibit is a part. 
 
 

EX-2 3 ex2.htm EXHIBIT 2 ex2.htm

Exhibit 2
 
 
POWER OF ATTORNEY
 
Each of the undersigned, EnerTech Capital Partners II, L.P., ECP II Management L.P., ECP II Management LLC, and ECP II Interfund L.P. (collectively, the “EnerTech Entities”), and Scott B. Ungerer and William Kingsley (the “EnerTech Individuals”), and Robert E. Keith, Jr., and Mark J. DeNino (the “TL Individuals”) (the EnerTech Entities, the EnerTech Individuals and the TL Individuals, collectively, the “Undersigned”), hereby constitutes and appoints Colleen Pale, Scott B. Ungerer and William Kingsley and each of them, the  true and lawful attorney-in-fact for the EnerTech entities and the  EnerTech Individuals, and Robert E. Keith, Jr. and Mark J. DeNino hereby constitutes and appoints Pamela Strisofsky the true and lawful attorney-in-fact for the TL Individuals to:
 
1.           Complete and execute Forms 3, 4, 5, and 144, Schedules 13D and 13G and Form ID (Uniform Application for Access Codes to File on EDGAR) and other forms and all amendments thereto as such attorney-in-fact shall in his discretion determine to be required or advisable pursuant to Section 16(a) and Section 13(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and the rules and regulations promulgated thereunder, or any successor laws and regulations, as a consequence of the Undersigned’s ownership, acquisition or disposition of securities of any entity whose securities are beneficially owned (directly or indirectly) by the Undersigned (collectively, the “CompaniesR 21;).
 
2.           Do and perform any and all acts for and on the behalf of the Undersigned which may be necessary or desirable in order to complete and execute any such form, complete and execute any amendments thereto, and timely file such forms with the Securities and Exchange Commission, any securities exchange or national association, the Companies and such other person or agency as the attorney-in-fact shall deem appropriate; and
 
 
3.            Take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the Undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the Undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact’s discretion.
 
Each of the Undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the Undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact’s substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted.  Each of the Undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the Undersigned, are not assuming any of the Undersigned’s responsibil ities to comply with Sections 16 and 13(d) of the Exchange Act.
 
This Power of Attorney shall remain in full force and effect until the Undersigned is no longer required to file Forms 3, 4, 5 or 144 or Schedule 13D or 13G with respect to the Undersigned’s holdings of and transactions in securities issued by the Companies, unless earlier revoked by in writing.
 
 
 

 
 
October 19, 2010
EnerTech Capital Partners II, L.P.
 
By:
ECP II Management L.P., its General Partner
 
By:
ECP II Management LLC, its General Partner
     
 
By:
/s/ William Kingsley
 
Its:
Vice President
October 19, 2010
   
 
ECP II Management L.P.
 
By:
ECP II Management LLC, its General Partner
     
 
By:
/s/ William Kingsley
 
Its:
Vice President
October 19, 2010
   
 
ECP II Management LLC
     
 
By:
/s/ William Kingsley
 
Its:
Vice President
October 19, 2010
   
 
ECP II Interfund L.P.
 
By:
ECP II Management LLC, its General Partner
     
 
By:
/s/ William Kingsley
 
Its:
Vice President
October 19, 2010
   
 
Scott B. Ungerer
     
 
/s/ Scott B. Ungerer

 
 

 
 
October 19, 2010
William Kingsley
   
   
 
/s/ William Kingsley
   
October 19, 2010
Robert E. Keith, Jr.
   
   
 
/s/ Robert E. Keith,Jr.
   
October 19, 2010
Mark J. DeNino
   
   
 
/s/ Mark J. DeNino
 
 

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