0001104659-18-071781.txt : 20181207 0001104659-18-071781.hdr.sgml : 20181207 20181207083251 ACCESSION NUMBER: 0001104659-18-071781 CONFORMED SUBMISSION TYPE: POS AM PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20181207 DATE AS OF CHANGE: 20181207 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CDTI ADVANCED MATERIALS, 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 FILING VALUES: FORM TYPE: POS AM SEC ACT: 1933 Act SEC FILE NUMBER: 333-181443 FILM NUMBER: 181222222 BUSINESS ADDRESS: STREET 1: 1700 FISKE PLACE CITY: OXNARD STATE: CA ZIP: 93033 BUSINESS PHONE: (805)486-4649 MAIL ADDRESS: STREET 1: 1700 FISKE PLACE CITY: OXNARD STATE: CA ZIP: 93033 FORMER COMPANY: FORMER CONFORMED NAME: CLEAN DIESEL TECHNOLOGIES INC DATE OF NAME CHANGE: 19950816 POS AM 1 a18-40459_1posam.htm POS AM

As filed with the Securities and Exchange Commission on December 7, 2018

Registration No.  333-181443

Registration No.  333-183204

Registration No.  333-204309

Registration No.  333-215399

 

 

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C.  20549

 

 

Post-Effective Amendment No. 1 to Form S-3 (Registration No. 333-181443)
Post-Effective Amendment No. 1 to Form S-3 (Registration No. 333-183204)
Post-Effective Amendment No. 1 to Form S-3 (Registration No. 333-204309)
Post-Effective Amendment No. 1 to Form S-3 (Registration No. 333-215399)

 

REGISTRATION STATEMENT

UNDER THE SECURITIES ACT OF 1933

 

 

CDTI ADVANCED MATERIALS, INC.

(Exact name of registrant as specified in its charter)

 

 

Delaware
(State of other jurisdiction of
incorporation or organization)

 

06-1393453
(I.R.S. Employer
Identification No.)

 

1700 Fiske Place

Oxnard, California 93033

(805) 639-9458

(Address, including zip code, and telephone number, including area code, of registrant’s principal executive offices)

 

 

Matthew Beale

Chief Executive Officer

CDTi Advanced Materials, Inc.

1700 Fiske Place

Oxnard, California 93033

(805) 639-9458

(Name, address, including zip code, and telephone number, including area code of agent for service)

 

 

Copy to:

John J. McIlvery, Esq.

Stubbs Alderton & Markiles, LLP

15260 Ventura Boulevard, 20th Floor

Sherman Oaks, California 91403

(818) 444-4500

 

 

Approximate date of commencement of proposed sale to the public: This post-effective amendment withdraws from registration all securities of CDTi Advanced Materials, Inc. that remain unsold under Registration Statement Nos. 333-181443, 333-183204, 333-204309 and 333-215399.

 

If the only securities being registered on this Form are being offered pursuant to dividend or interest reinvestment plans, please check the following box.  o

 

If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933, other than securities offered only in connection with dividend or interest reinvestment plans, check the following box.  o

 

If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, please check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering.  o

 

If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering.  o

 

If this Form is a registration statement pursuant to General Instruction I.D. or a post-effective amendment thereto that shall become effective upon filing with the Commission pursuant to Rule 462(e) under the Securities Act, check the following box.  o

 

If this Form is a post-effective amendment to a registration statement filed pursuant to General Instruction I.D. filed to register additional securities or additional classes of securities pursuant to Rule 413(b) under the Securities Act, check the following box.  o

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or an emerging growth company.  See definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company” and “emerging growth company” in Rule 12b-2 of the Exchange Act.

 

Large accelerated filer  o

 

Accelerated filer  o

Non-accelerated filer  x

 

Smaller reporting company  x

 

 

Emerging growth company  o

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act.  o

 

 

 

 

Explanatory Note

 

CDTi Advanced Materials, Inc., or the Company, hereby amends the following Registration Statements on Form S-3 to withdraw from registration any and all securities of the Company registered thereunder which have not been sold pursuant to such Registration Statements:

 

1.                 Registration Statement on Form S-3 (Registration No.  333-181443) filed on May 15, 2012;

 

2.                 Registration Statement on Form S-3 (Registration No.  333-183204) filed on August 9, 2012;

 

3.                 Registration Statement on Form S-3 (Registration No.  333-204309) filed on May 19, 2015; and

 

4.                 Registration Statement on Form S-3 (Registration No.  333-215399) filed on January 3, 2017.

 

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SIGNATURES

 

Pursuant to the requirements of the Securities Act of 1933, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-3 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Oxnard, State of California, on December 7, 2018.

 

 

CDTI ADVANCED MATERIALS, INC.

 

 

 

 

 

By:

/s/ Matthew Beale

 

 

Matthew Beale

 

 

Chief Executive Officer

 

Note:  No other person is required to sign this Post-Effective Amendment No. 1 in reliance upon Rule 478 under the Securities Act of 1933, as amended.

 

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