0001513162-13-000225.txt : 20130323 0001513162-13-000225.hdr.sgml : 20130323 20130322174709 ACCESSION NUMBER: 0001513162-13-000225 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130320 FILED AS OF DATE: 20130322 DATE AS OF CHANGE: 20130322 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: 13712260 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 primary_doc.xml PRIMARY DOCUMENT X0306 4 2013-03-20 0 0000949428 CLEAN DIESEL TECHNOLOGIES INC CDTI 0001502611 Golden Stephen John C/O CLEAN DIESEL TECHNOLOGIES, INC. 4567 TELEPHONE ROAD, SUITE 100 VENTURA CA 93003 0 1 0 0 Chief Technology Officer Common Stock 2013-03-20 4 M 0 6536 0 A 21088 D Common Stock 2013-03-21 4 S 0 3373 2.1532 D 17715 D Restricted Share Units 2013-03-20 4 M 0 6536 0 D Common Stock 6536 13071 D Restricted Share Units 2013-03-20 4 A 0 25498 0 A Common Stock 25498 25498 D Shares of Common Stock acquired upon vesting of Restricted Share Units (RSUs) granted February 22, 2012 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. Each RSU represents a contingent right to receive one share of CDTI common stock. RSUs vest as to 1/3 on each of March 20, 2013, March 20, 2014, and March 20, 2015. Issuance will occur on vest date subject to compliance with Issuer's Insider Trading Policy and all applicable requirements of federal, state or foreign law with respect to such securities. 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. RSUs vest as to 1/3 on each the first, second and third anniversaries of the grant date. Issuance will occur on vest date subject to compliance with Issuer's Insider Trading Policy and all applicable requirements of federal, state or foreign law with respect to such securities. 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 Stephen J. Golden 2013-03-22