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