0001209191-12-033472.txt : 20120612
0001209191-12-033472.hdr.sgml : 20120612
20120612162610
ACCESSION NUMBER: 0001209191-12-033472
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120608
FILED AS OF DATE: 20120612
DATE AS OF CHANGE: 20120612
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: 12903144
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 100
CITY: VENTURA
STATE: CA
ZIP: 93003
BUSINESS PHONE: 805 639 9458
MAIL ADDRESS:
STREET 1: 4567 TELEPHONE ROAD
STREET 2: SUITE 100
CITY: VENTURA
STATE: CA
ZIP: 93003
4
1
c29121_4x0.xml
MAIN DOCUMENT DESCRIPTION
X0305
4
2012-06-08
0000949428
CLEAN DIESEL TECHNOLOGIES INC
CDTI
0001502950
Harris Christopher Jay
C/O CLEAN DIESEL TECHNOLOGIES, INC.
4567 TELEPHONE ROAD, SUITE 100
VENTURA
CA
93003
0
1
0
0
Chief Operations Officer
Common Stock
2012-06-08
4
M
0
1390
0
A
2139
D
Common Stock
2012-06-11
4
S
0
625
2.1867
D
1514
D
Restricted Stock Units
0
2012-06-08
4
M
0
1390
0
A
2012-06-08
Common stock
1390
1390
D
Shares of common stock acquired upon vesting of Restricted Stock Units (RSUs) granted June 8, 2011 pursuant to the CDTI Stock 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 $2.17 to $2.23, 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 range set forth in this footnote to this Form 4.
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 other than death, will be forfeited.
/s/ Kristi Cushing for Christopher Jay Harris
2012-06-12