0001179110-15-016677.txt : 20151222
0001179110-15-016677.hdr.sgml : 20151222
20151222191607
ACCESSION NUMBER: 0001179110-15-016677
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20151218
FILED AS OF DATE: 20151222
DATE AS OF CHANGE: 20151222
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: 1621 FISKE PLACE
CITY: OXNARD
STATE: CA
ZIP: 93033
BUSINESS PHONE: 805 639 9465
MAIL ADDRESS:
STREET 1: 1621 FISKE PLACE
CITY: OXNARD
STATE: CA
ZIP: 93033
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Harris Christopher Jay
CENTRAL INDEX KEY: 0001502950
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33710
FILM NUMBER: 151303998
MAIL ADDRESS:
STREET 1: C/O CLEAN DIESEL TECHNOLOGIES, INC.
STREET 2: 1621 FISKE PLACE
CITY: OXNARD
STATE: CA
ZIP: 93033
4
1
edgar.xml
FORM 4 -
X0306
4
2015-12-18
1
0000949428
CLEAN DIESEL TECHNOLOGIES INC
CDTI
0001502950
Harris Christopher Jay
1621 FISKE PLACE
OXNARD
CA
93033
0
0
0
1
Former President & COO
Common Stock
2015-12-18
4
M
0
6374
0
A
29306
D
Common Stock
2015-12-18
4
M
0
9221
0
A
38527
D
Restricted Share Units
2015-12-18
4
M
0
6374
D
Common Stock
6374
0
D
Restricted Share Units
2015-12-18
4
M
0
9221
D
Common Stock
9221
0
D
Shares of Common Stock acquired upon settlement of Restricted Share Units (RSUs) granted on March 20, 2013 and March 13, 2014, pursuant to the Clean Diesel Technologies, Inc. (CDTI) Stock Incentive Plan and accelerated on December 11, 2015 pursuant to a Separation Agreement and Release, the settlement of which was delayed until December 18, 2015.
Each RSU represents a contingent right to receive one share of CDTI's common stock.
RSUs vest as to 1/3 on each the first, second and third anniversaries of the grant date. Issuance will occur on vest date subject to compliance with Issuer's Insider Trading Policy and all applicable requirements of federal, state or foreign law with respect to such securities. RSUs that have not vested at the time of the reporting person's termination of service, for any or no reason other than death, will be forfeited.
RSUs vest as to 4,610 shares on March 20, 2015; 4,611 shares on March 20, 2016; and 4,610 shares on March 20, 2017. Issuance to occur as soon as practicable following the date of vesting and subject to compliance with Issuer's Insider Trading Policy, but in all cases within two and one-half months following the end of the Issuer's tax year that includes the date such RSUs vest. RSUs that have not vested at the time of the reporting person's termination of service, for any or no reason other than death or change in control, will be forfeited.
Exhibit 24 Power of Attorney
/s/ Alfred Palomino, Attorney-in-Fact
2015-12-22
EX-24
2
ex24harris.txt
POWER OF ATTORNEY
Know all by these presents that the undersigned hereby constitutes and
appoints each, David Shea and Alfred Palomino, or any of them signing singly,
and with full power of substitution, the undersigned's true and lawful
attorney-in-fact to:
(1) prepare, execute in the undersigned's name and on the undersigned's
behalf, and submit to the U.S. Securities and Exchange Commission
(the "SEC") a Form ID, including amendments thereto, and any other
documents necessary or appropriate to obtain codes and passwords
enabling the undersigned to make electronic filings with the SEC of
reports required by Section 16(a) of the Securities and Exchange Act
of 1934 or any rule or regulation of the SEC;
(2) execute or and on behalf of the undersigned, in the undersigned's
capacity as an officer and/or director of Clean Diesel Technologies,
Inc. (the "COMPANY"), Forms 3, 4, and 5 in accordance with Section
16(a) of the Securities and Exchange Act of 1934 and the rules
thereunder, as amended;
(3) do and perform any and all acts for and on behalf of the undersigned
that may be necessary or desirable to complete and execute any such
Form 3, 4, or 5, complete and execute any amendment or amendments
thereto, and timely file such form with the SEC and any stock
exchange or similar authority; and
(4) take any other action of any type whatsoever in connection with the
foregoing that, 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 his
discretion.
The undersigned hereby grants to each such attorney-in-fact full power and
authority to do and perform each and every act and thing whatsoever requisite,
necessary, and 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 his
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. The undersigned
acknowledges that no such attorney-in-fact, in serving in such capacity at the
request of the undersigned, is hereby assuming, nor is the Company hereby
assuming, any of the undersigned's responsibilities to comply with Section 16 of
the Securities Exchange Act of 1934, as amended.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Form 3, 4 and 5 reports with respect
to the undersigned's holdings of and transactions in securities issued by the
Company, unless earlier revoked by the undersigned in a signed writing delivered
to the foregoing attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to
be executed as of this 18th day of December, 2015.
/s/ Christopher J. Harris
--------------------------------
Signature
Christopher J. Harris
--------------------------------
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