0001209191-11-039691.txt : 20110715 0001209191-11-039691.hdr.sgml : 20110715 20110715163149 ACCESSION NUMBER: 0001209191-11-039691 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110705 FILED AS OF DATE: 20110715 DATE AS OF CHANGE: 20110715 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: 11970902 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: 11970903 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: 11970907 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: 11970909 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: 11970901 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: 11970904 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: 11970900 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 & 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 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: 11970908 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: 11970906 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: 11970905 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 c19992_4x0.xml MAIN DOCUMENT DESCRIPTION X0303 4 2011-07-05 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 0 1 Member of 13(d) group 0001335900 RockPort Capital Partners, L.P. 160 FEDERAL STREET, 18TH FLOOR BOSTON MA 02110 0 0 0 1 Member of 13(d) group 0001236155 ROCKPORT CAPITAL I LLC 160 FEDERAL STREET, 18TH FLOOR BOSTON MA 02110 0 0 0 1 Member of 13(d) group 0001335901 RP Co-Investment Fund I, L.P. 160 FEDERAL STREET, 18TH FLOOR BOSTON MA 02110 0 0 0 1 Member of 13(d) group 0001503232 RP Co-Investment Fund I GP, LLC 160 FEDERAL STREET, 18TH FLOOR BOSTON MA 02110 0 0 0 1 Member of 13(d) group 0001422108 James Janet Burrows 160 FEDERAL STREET, 18TH FLOOR BOSTON MA 02110 0 0 0 1 Member of 13(d) group 0001218568 JAMES WILLIAM E 160 FEDERAL STREET, 18TH FLOOR BOSTON MA 02110 0 0 0 1 Member of 13(d) group 0001241877 MCDERMOTT CHARLES J 160 FEDERAL STREET, 18TH FLOOR BOSTON MA 02110 0 0 0 1 Member of 13(d) group 0001418018 Prend David J 160 FEDERAL STREET, 18TH FLOOR BOSTON MA 02110 0 0 0 1 Member of 13(d) group 0001422111 Wilson Stoddard Moran 160 FEDERAL STREET, 18TH FLOOR BOSTON MA 02110 0 0 0 1 Member of 13(d) group Common Stock, par value $0.01 per share 2011-07-05 4 S 0 72800 3.75 D 329895 D Common Stock, par value $0.01 per share 2011-07-05 4 S 0 7200 3.75 D 322695 D This filing is being made as the result of the disposition of securities of Clean Diesel Technologies, Inc. by RockPort Capital Partners, L.P. and RP Co-Investment Fund I, L.P. in a public offering that closed on July 5, 2011. 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. ALEXANDER ELLIS III, By: /s/ Alexander Ellis III 2011-07-15 ROCKPORT CAPITAL PARTNERS, LP, By: Rockport Capital I LLC, General Partner, By: /s/ Janet B. James Name: Janet B. James Title: Managing Member 2011-07-15 RP CO-INVESTMENT FUND I, L.P., By: RP Co-Investment Fund I GP, LLC, By: /s/ Janet B. James Name: Janet B. James Title: Managing Member 2011-07-15 ROCKPORT CAPITAL I LLC, By: /s/ Janet B. James Name: Janet B. James Title: Managing Member 2011-07-15 RP CO-INVESTMENT FUND I GP, LLC, By: /s/ Janet B. James Name: Janet B. James Title: Managing Member 2011-07-15 JANET B. JAMES, By: /s/ Janet B. James 2011-07-15 WILLIAM E. JAMES, By: /s/ William E. James 2011-07-15 CHARLES J. MCDERMOTT, By: /s/ Charles J. McDermott 2011-07-15 DAVID J. PREND, By: /s/ David J. Prend 2011-07-15 STODDARD M. WILSON, By: /s/ Stoddard M. Wilson 2011-07-15