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