-----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, ApazMEGWDetfLPm3eq/ttTlnP9a+9Ylc5JFsaJKL1Al2YO+ac2iNhazH80RBywb9 34y7q9JS8kDF5TvXY8uQNg== 0001140361-10-041626.txt : 20101019 0001140361-10-041626.hdr.sgml : 20101019 20101019171418 ACCESSION NUMBER: 0001140361-10-041626 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101015 FILED AS OF DATE: 20101019 DATE AS OF CHANGE: 20101019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MCDERMOTT CHARLES J CENTRAL INDEX KEY: 0001241877 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33710 FILM NUMBER: 101130996 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JAMES WILLIAM E CENTRAL INDEX KEY: 0001218568 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33710 FILM NUMBER: 101130997 MAIL ADDRESS: STREET 1: C/O ROCKPORT CAPITAL PARTNERS LLC STREET 2: 160 GFEDERAL STREET CITY: BOSTON STATE: MA ZIP: 02110-1776 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROCKPORT CAPITAL I LLC CENTRAL INDEX KEY: 0001236155 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33710 FILM NUMBER: 101130991 MAIL ADDRESS: STREET 1: C/O KATHERINE COMER, MINTZ, LEVIN... STREET 2: ONE FINANCIAL CENTER CITY: BOSTON STATE: MA ZIP: 02111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ELLIS ALEXANDER III CENTRAL INDEX KEY: 0001228600 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33710 FILM NUMBER: 101130993 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Prend David J CENTRAL INDEX KEY: 0001418018 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33710 FILM NUMBER: 101130995 MAIL ADDRESS: STREET 1: ROCKPORT CAPITAL PARTNERS STREET 2: 160 FEDERAL STREET, 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: James Janet Burrows CENTRAL INDEX KEY: 0001422108 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33710 FILM NUMBER: 101130998 MAIL ADDRESS: STREET 1: 160 FEDERAL STREET CITY: BOSTON STATE: MA ZIP: 02110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wilson Stoddard Moran CENTRAL INDEX KEY: 0001422111 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33710 FILM NUMBER: 101130994 MAIL ADDRESS: STREET 1: 160 FEDERAL STREET CITY: BOSTON STATE: MA ZIP: 02110 ISSUER: 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 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RockPort Capital Partners, L.P. CENTRAL INDEX KEY: 0001335900 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33710 FILM NUMBER: 101130992 BUSINESS ADDRESS: STREET 1: 160 FEDERAL STREET STREET 2: 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 617-912-1445 MAIL ADDRESS: STREET 1: 160 FEDERAL STREET STREET 2: 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RP Co-Investment Fund I, L.P. CENTRAL INDEX KEY: 0001335901 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33710 FILM NUMBER: 101131000 BUSINESS ADDRESS: STREET 1: 160 FEDERAL STREET STREET 2: 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 617-912-1445 MAIL ADDRESS: STREET 1: 160 FEDERAL STREET STREET 2: 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RP Co-Investment Fund I GP, LLC CENTRAL INDEX KEY: 0001503232 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33710 FILM NUMBER: 101130999 BUSINESS ADDRESS: STREET 1: 160 FEDERAL STREET STREET 2: 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 617-912-1420 MAIL ADDRESS: STREET 1: 160 FEDERAL STREET STREET 2: 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02110 4 1 doc1.xml FORM 4 X0303 4 2010-10-15 0 0000949428 CLEAN DIESEL TECHNOLOGIES INC CDTI 0001228600 ELLIS ALEXANDER III C/O ROCKPORT CAPITAL PARTNERS, LP 160 FEDERAL STREET, 18TH FLOOR BOSTON MA 02110 1 0 1 0 0001335900 RockPort Capital Partners, L.P. 160 FEDERAL STREET, 18TH FLOOR BOSTON MA 02110 1 0 1 0 0001236155 ROCKPORT CAPITAL I LLC 160 FEDERAL STREET, 18TH FLOOR BOSTON MA 02110 1 0 1 0 0001335901 RP Co-Investment Fund I, L.P. 160 FEDERAL STREET, 18TH FLOOR BOSTON MA 02110 1 0 1 0 0001503232 RP Co-Investment Fund I GP, LLC 160 FEDERAL STREET, 18TH FLOOR BOSTON MA 02110 1 0 1 0 0001422108 James Janet Burrows 160 FEDERAL STREET, 18TH FLOOR BOSTON MA 02110 1 0 1 0 0001218568 JAMES WILLIAM E 160 FEDERAL STREET, 18TH FLOOR BOSTON MA 02110 1 0 1 0 0001241877 MCDERMOTT CHARLES J 160 FEDERAL STREET, 18TH FLOOR BOSTON MA 02110 1 0 1 0 0001418018 Prend David J 160 FEDERAL STREET, 18TH FLOOR BOSTON MA 02110 1 0 1 0 0001422111 Wilson Stoddard Moran 160 FEDERAL STREET, 18TH FLOOR BOSTON MA 02110 1 0 1 0 Common Stock 2010-10-15 4 J 0 375853 0 A 375853 D Common Stock 2010-10-15 4 J 0 26842 0 A 402695 D Warrants 7.92 2010-10-15 4 J 0 40220 0 A 2010-10-15 Common Stock 40220 40220 D Warrants 7.92 2010-10-15 4 J 0 15108 0 A 2010-10-15 Common Stock 15108 55328 D This filing is being made as the result of the acquisition of securities of Clean Diesel Technologies, Inc. ("CDTI") by RockPort Capital Partners, L.P. and RP Co-Investment Fund I, L.P. in exchange for securities of Catalytic Solutions, Inc. ("CSI") previously held thereby, pursuant to the merger (the "Merger") of a wholly owned subsidiary of CDTI into CSI on October 15, 2010. As a result of the Merger, CSI became a wholly owned subsidiary of CDTIl. The reporting persons owned no securities of CDTI prior to the Merger. Such securities are held directly by RockPort Capital Partners, L.P., and may be deemed to be beneficially owned by RockPort Capital I, LLC, the general partner of RockPort Capital Partners, L.P, and by Alexander Ellis III, Janet B. James, William E. James, Charles J. McDermott, David J. Prend and Stoddard M. Wilson, who are the managing members of RockPort Capital I, LLC. All such persons other than RockPort Capital Partners, L.P. 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. Such securities are held directly by RP Co-Investment Fund I, L.P. , and may be deemed to be beneficially owned by RP Co-Investment Fund I GP, LLC, the general partner of RP Co-Investment Fund I, L.P., and by Alexander Ellis III, Janet B. James, William E. James, Charles J. McDermott, David J. Prend and Stoddard M. Wilson, who are the managing members of RP Co-Investment Fund I GP, LLC. All such persons other than RP Co-Investment Fund I, L.P. 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. The warrants expire on the earlier of (a) October 10, 2013 and (b) the date 30 days after CDTI notifies the warrant holder that the market price of CDTI's common stock has exceeded $10.30 for 10 consecutive days. ALEXANDER ELLIS III, By: /s/ Tom Scott, Attorney-in-Fact 2010-10-19 ROCKPORT CAPITAL PARTNERS, LP, By: Rockport Capital I, LLC, General Partner, By: /s/ Tom Scott, Attorney-in-Fact 2010-10-19 RP CO-INVESTMENT FUND I, L.P., By: RP Co-Investment Fund I GP, LLC, By: /s/ Tom Scott, Attorney-in-Fact 2010-10-19 ROCKPORT CAPITAL I, LLC, By: /s/ Tom Scott, Attorney-in-Fact 2010-10-19 RP CO-INVESTMENT FUND I GP, LLC, By: /s/ Tom Scott, Attorney-in-Fact 2010-10-19 JANET B. JAMES, By: /s/ Tom Scott, Attorney-in-Fact 2010-10-19 WILLIAM E. JAMES, By: /s/ Tom Scott, Attorney-in-Fact 2010-10-19 CHARLES J. MCDERMOTT, By: /s/ Tom Scott, Attorney-in-Fact 2010-10-19 DAVID J. PREND, By: /s/ Tom Scott, Attorney-in-Fact 2010-10-19 STODDARD M. WILSON, By: /s/ Tom Scott, Attorney-in-Fact 2010-10-19 -----END PRIVACY-ENHANCED MESSAGE-----