0001044321-11-000205.txt : 20111025 0001044321-11-000205.hdr.sgml : 20111025 20111025150123 ACCESSION NUMBER: 0001044321-11-000205 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111021 FILED AS OF DATE: 20111025 DATE AS OF CHANGE: 20111025 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CLEAN DIESEL TECHNOLOGIES INC CENTRAL INDEX KEY: 0000949428 STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL & COMMERCIAL FANS & BLOWERS & AIR PURIFYING EQUIP [3564] IRS NUMBER: 061393453 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4567 TELEPHONE ROAD STREET 2: SUITE 206 CITY: VENTURA STATE: CA ZIP: 93003 BUSINESS PHONE: 805 639 9458 MAIL ADDRESS: STREET 1: 4567 TELEPHONE ROAD STREET 2: SUITE 206 CITY: VENTURA STATE: CA ZIP: 93003 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MARXE AUSTIN W & GREENHOUSE DAVID M CENTRAL INDEX KEY: 0001044321 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33710 FILM NUMBER: 111156529 BUSINESS ADDRESS: STREET 1: C/O SPECIAL SITUATIONS FUNDS STREET 2: 527 MADISON AVENUE, SUITE 2600 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2122076500 MAIL ADDRESS: STREET 1: C/O SPECIAL SITUATIONS FUNDS STREET 2: 527 MADISON AVENUE, SUITE 2600 CITY: NEW YORK STATE: NY ZIP: 10022 4 1 primary_doc.xml PRIMARY DOCUMENT X0304 4 2011-10-21 0 0000949428 CLEAN DIESEL TECHNOLOGIES INC CDTI 0001044321 MARXE AUSTIN W & GREENHOUSE DAVID M C/O SPECIAL SITUATIONS FUNDS 527 MADISON AVENUE, SUITE 2600 NEW YORK NY 10022 0 0 1 0 Common Stock 2011-10-21 4 S 0 7130 3.5067 D 1591685 I By Limited Partnerships Common Stock 2011-10-21 4 S 0 100500 3.5867 D 1491185 I By Limited Partnerships Common Stock 2011-10-24 4 S 0 100000 3.7658 D 1391185 I By Limited Partnerships This is a weighted average price. This is a joint filing by Austin W. Marxe (Marxe) and David M. Greenhouse (Greenhouse). They share voting and investment control over all securities owned by Special Situations Fund III QP, L.P. (QP), Special Situations Cayman Fund, L.P. (Cayman), Special Situations Private Equity Fund, L.P. (PE), Special Situations Technology Fund, LP. (TN) and Special Situations Technology Fund II, L.P. (T2). 695,592 shares of Common Stock are held by QP, 222,590 shares of Common Stock are held by Cayman, 87,266 shares of Common Stock are held by PE, 53,750 shares of Common Stock are held by TN and 331,987 shares of Common Stock are held by T2. The interest of Marxe and Greenhouse in the shares of Common Stock owned by QP, Cayman, PE, TN and T2 is limited to the extent of his pecuniary interest. Austin W. Marxe 2011-10-25 David M. Greenhouse 2011-10-25