-----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, WyDY1zP2TFpXhhhdaEafGhADSd5ZbpcwJIhdFc3V/Sd6pbNIK834wlu3TyaNK8Y8 ERtAwQZJcxLGXjjBbx9ybQ== 0000950116-97-000849.txt : 19970506 0000950116-97-000849.hdr.sgml : 19970506 ACCESSION NUMBER: 0000950116-97-000849 CONFORMED SUBMISSION TYPE: 10-K/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 19961231 FILED AS OF DATE: 19970505 SROS: NONE FILER: COMPANY DATA: COMPANY CONFORMED NAME: CLEAN DIESEL TECHNOLOGIES INC CENTRAL INDEX KEY: 0000949428 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-CHEMICALS & ALLIED PRODUCTS [5160] IRS NUMBER: 061393453 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-K/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-27432 FILM NUMBER: 97594941 BUSINESS ADDRESS: STREET 1: 300 ATLANTIC ST CITY: STAMFORD STATE: CT ZIP: 06901 BUSINESS PHONE: 2034259830 10-K/A 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 [NO FEE REQUIRED] For the fiscal year ended: December 31, 1996 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 [NO FEE REQUIRED] For the transition period from __________________ to ____________________ Commission File No. 0-27432 CLEAN DIESEL TECHNOLOGIES, INC. - -------------------------------------------------------------------------------- (Exact name of registrant as specified in its charter) Delaware 06-1393453 - -------------------------------------------------------------- --------------------------------------- (State or other jurisdiction of incorporation of organization) (I.R.S. Employer Identification Number)
Suite 702, 300 Atlantic Street Stamford, CT 06901 (203) 327-7050 ------------------------------------------------------------- (Address and telephone number of principal executive offices) Securities registered pursuant to Section 12(b) of the Act: None Securities registered pursuant to Section 12 (g) of the Act: Common Stock $0.05 par value per share -------------------------------------- (Title of Class) Indicate by check mark whether the registrant: (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes X No --- --- Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of the registrant's knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. [ ] Aggregate market value of the voting stock held by non-affiliates of the registrant based on the average bid and asked prices of March 18, 1997: $10,695,830. Indicate number of shares outstanding of each of the registered classes of common stock at March 18, 1997: 2,516,666 shares Common Stock, $0.05 par value. Documents incorporated by reference: Certain portions of the registrant's 1996 Annual Report to stockholders and of the registrant's Proxy Statement for the annual meeting of stockholders to be held in 1997 described in Parts II, III, and IV hereof are incorporated by reference in this report. Part IV Item 14. Exhibits, Financial Statement Schedules and Reports on Form 8-K. (a). (3) Exhibits EXHIBIT NO. TITLE ------- --- ----- 27 Financial Data Schedule 2 SIGNATURES Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, Clean Diesel Technologies, Inc. has duly caused this Amendment No. 1 to Report on Form 10-K to be signed on its behalf by the undersigned, thereunto duly authorized. CLEAN DIESEL TECHNOLOGIES, INC. May 5, 1997 By: /s/ Jeremy D. Peter-Hoblyn ------------------ -------------------------- Date Jeremy D. Peter-Hoblyn Chief Executive Officer, President and Director Pursuant to the requirements of the Securities Exchange Act of 1934, this Amendment No. 1 to Report on Form 10-K has been duly signed below by the following persons on behalf of Clean Diesel Technologies, Inc. and in the capacities and on the dates indicated. /s/ Ralph E. Bailey Director and Chairman of the Board of Directors May 5, 1997 ------------------------- Ralph E. Bailey /s/ Jeremy D. Peter-Hoblyn Chief Executive Officer, President and Director May 5, 1997 ------------------------- (principal executive officer) Jeremy D. Peter-Hoblyn /s/ Scott M. Schecter Chief Financial Officer, Vice President and May 5, 1997 ------------------------- Treasurer (principal financial and accounting Scott M. Schecter officer) /s/ James M. Valentine Director, Chief Operating Officer, and May 5, 1997 ------------------------- Executive Vice President James M. Valentine /s/ Kent D. S. Durr Director May 5, 1997 ------------------------- Kent D. S. Durr /s/ John A. de Havilland Director May 5, 1997 ------------------------- John A. de Havilland /s/ Charles W. Grinnell Director, Vice President and Corporate Secretary May 5, 1997 ------------------------- Charles W. Grinnell
3 EX-27 2
5 US YEAR DEC-31-1996 JAN-01-1996 DEC-31-1996 1 3,270,000 2,000,000 0 0 103,000 5,595,000 0 0 5,677,000 1,486,000 0 0 0 125,000 4,066,000 5,677,000 0 0 0 0 3,812,000 0 0 (3,489,000) 0 0 0 0 0 (3,489,000) (1.40) 0
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