0001209191-11-035831.txt : 20110621 0001209191-11-035831.hdr.sgml : 20110621 20110621200651 ACCESSION NUMBER: 0001209191-11-035831 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110617 FILED AS OF DATE: 20110621 DATE AS OF CHANGE: 20110621 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Golden Stephen John CENTRAL INDEX KEY: 0001502611 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33710 FILM NUMBER: 11924627 MAIL ADDRESS: STREET 1: C/O CLEAN DIESEL TECHNOLOGIES, INC. STREET 2: 4567 TELEPHONE ROAD, SUITE 206 CITY: VENTURA STATE: CA ZIP: 93003 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 4 1 c19076_4x0.xml MAIN DOCUMENT DESCRIPTION X0303 4 2011-06-17 0000949428 CLEAN DIESEL TECHNOLOGIES INC CDTI 0001502611 Golden Stephen John C/O CLEAN DIESEL TECHNOLOGIES, INC. 4567 TELEPHONE ROAD, SUITE 206 VENTURA CA 93003 0 1 0 0 Chief Technical Officer Common Stock 2011-06-17 4 M 0 23699 0 A 32255 D Common Stock 2011-06-20 4 S 0 2046 5.802 D 30209 D Common Stock 2011-06-21 4 S 0 7505 5.7797 D 22704 D Restricted Stock Units 2011-06-17 4 M 0 1780 0 D 2011-06-17 Common stock 1780 3560 D Restricted Stock Units 2011-06-17 4 M 0 21919 0 D 2011-06-17 Common stock 21919 0 D Shares of common stock acquired upon vesting of Restricted Stock Units (RSUs) granted June 8, 2011 pursuant to the CDTI 1994 Incentive Plan. Shares were sold to cover the reporting person's tax obligation in connection with the vesting of RSUs and conversion into shares of common stock. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $5.80 to $5.81, inclusive. The reporting person undertakes to provide CDTI, any security holder of CDTI or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 3 and 4 to this Form 4. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $5.65 to $5.95, inclusive. Each RSU represents a contingent right to receive one share of CDTI common stock. The RSU vests as to 1/3 on the seventh business day from June 8, 2011, the date of grant, and 1/3 each on the first and second anniversary of the date of grant. Issuance will occur on vest date. RSUs that have not vested at the time of the reporting person's termination of service, for any or no reason, will be forfeited. The RSU vests as to 100% on the seventh business day from June 8, 2011, the date of grant. Issuance will occur on vest date. RSUs that have not vested at the time of the reporting person's termination of service, for any or no reason, will be forfeited. /s/ Kristi Cushing for Stephen John Golden 2011-06-21