0001513162-13-000942.txt : 20131210 0001513162-13-000942.hdr.sgml : 20131210 20131210170035 ACCESSION NUMBER: 0001513162-13-000942 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131204 ITEM INFORMATION: Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics FILED AS OF DATE: 20131210 DATE AS OF CHANGE: 20131210 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-33710 FILM NUMBER: 131268913 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 8-K 1 form8k.htm FORM 8K FORM 8K

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

 WASHINGTON, D.C. 20549


___________________


 

FORM 8-K

 

CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934

 

Date of report (Date of earliest event reported): December 10, 2013 (December 4, 2013)

 

CLEAN DIESEL TECHNOLOGIES, INC.

(Exact Name of Registrant as Specified in Charter)

 

DELAWARE

 

001-33710

 

06-1393453

(State or Other Jurisdiction
of Incorporation)

 

(Commission File Number)

 

(I.R.S. Employer
Identification No.)

 

 

 

 

 

4567 TELEPHONE ROAD, SUITE 100

VENTURA, CALIFORNIA

    

 

93003

(Address of Principal Executive Offices)

    

 

(Zip Code)


(805) 639-9458

(Registrants telephone number, including area code)

 




(Former name or former address, if changed since last report)

 




Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

o

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

 

o

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

 

o

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

 

o

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 







Item 5.05  Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics.


On December 4, 2013, the board of directors of Clean Diesel Technologies, Inc. (the “Company”) approved various amendments to the Company’s code of ethics and business conduct, including to (i) require directors involved in actual or potential conflict of interest situations to recuse themselves from decisions related to such matters; (ii) set forth restrictions on the use and disclosure of confidential information; and (iii) provide that the Company’s general counsel should be consulted before engaging in any activity that may involve antitrust implications.


A copy of the amended code of ethics and business conduct is available on the Company’s website at www.cdti.com under “Investor Relations” or upon request by following the instructions set forth in the section entitled “Corporate Governance” in the Company’s definitive proxy statement on Schedule 14A related to the 2013 annual meeting of stockholders filed with the Securities and Exchange Commission on April 5, 2013.

 

 

 

 

 



SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

  

 

CLEAN DIESEL TECHNOLOGIES, INC.

 

 

 

 

 

December 10, 2013

By:

/s/ Nikhil A. Mehta

 

 

 

Name:  Nikhil A. Mehta

 

 

 

Title: Chief Financial Officer