0001502611-17-000001.txt : 20170214 0001502611-17-000001.hdr.sgml : 20170214 20170214200327 ACCESSION NUMBER: 0001502611-17-000001 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170214 DATE AS OF CHANGE: 20170214 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: 1621 FISKE PLACE CITY: OXNARD STATE: CA ZIP: 93033 BUSINESS PHONE: 805 639 9465 MAIL ADDRESS: STREET 1: 1621 FISKE PLACE CITY: OXNARD STATE: CA ZIP: 93033 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Golden Stephen John CENTRAL INDEX KEY: 0001502611 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33710 FILM NUMBER: 17612429 MAIL ADDRESS: STREET 1: C/O CLEAN DIESEL TECHNOLOGIES, INC. STREET 2: 1621 FISKE PLACE CITY: OXNARD STATE: CA ZIP: 93033 5 1 primary_doc.xml PRIMARY DOCUMENT X0306 5 2016-12-31 0 0 1 0000949428 CLEAN DIESEL TECHNOLOGIES INC CDTI 0001502611 Golden Stephen John C/O CLEAN DIESEL TECHNOLOGIES, INC. 1621 FISKE PLACE OXNARD CA 93033 0 1 0 0 Chief Technology Officer Common Stock 2016-12-22 4 M 0 L 1700 0 A 9845 D Common Stock 2016-12-22 4 M 0 L 1106 0 A 10951 D Restricted Share Units 2016-12-22 4 M 0 L 1700 0 D Common Stock 1700 0 D Restricted Share Units 2016-12-22 4 M 0 L 1106 0 D Common Stock 1106 1107 D Shares of Common Stock acquired upon settlement of RSUs granted March 20, 2013 pursuant to the CDTI Stock Incentive Plan. Shares of Common Stock acquired upon settlement of RSUs granted March 13, 2014 pursuant to the CDTI Stock Incentive Plan. Each RSU represents a contingent right to receive one share of CDTI common stock. RSU vests as to 1/3 on each of March 20, 2014, March 20, 2015 and March 20, 2016. Issuance to occur as soon as practicable following the date of vesting and subject to compliance with Issuer's Insider Trading Policy, but in all cases within two and one-half months following the end of the Issuer's tax year that includes the date such RSUs vest. RSUs that have not vested at the time of the reporting person's termination, for any or no reason other than death, will be forfeited. RSU vests as to 1/3 on each of March 20, 2015, March 20, 2016 and March 20, 2017. Issuance to occur as soon as practicable following the date of vesting and subject to compliance with Issuer's Insider Trading Policy, but in all cases within two and one-half months following the end of the Issuer's tax year that includes the date such RSUs vest. RSUs that have not vested at the time of the reporting person's termination, for any or no reason other than death, will be forfeited. /Tracy A. Kern, Attorney-In-Fact 2017-02-14