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