0001513162-14-000345.txt : 20140519 0001513162-14-000345.hdr.sgml : 20140519 20140519174422 ACCESSION NUMBER: 0001513162-14-000345 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140515 FILED AS OF DATE: 20140519 DATE AS OF CHANGE: 20140519 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Shea David Eric CENTRAL INDEX KEY: 0001502954 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33710 FILM NUMBER: 14855778 MAIL ADDRESS: STREET 1: C/O CLEAN DIESEL TECHNOLOGIES, INC. STREET 2: 4567 TELEPHONE ROAD, SUITE 206 CITY: VENTURA STATE: CA ZIP: 93003 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2014-05-15 0 0000949428 CLEAN DIESEL TECHNOLOGIES INC CDTI 0001502954 Shea David Eric C/O CLEAN DIESEL TECHNOLOGIES, INC. 4567 TELEPHONE ROAD, SUITE 100 VENTURA CA 93003 0 1 0 0 VP Finance & Corp. Controller Common Stock 2014-05-15 4 M 0 2615 0 A 8314 D Common Stock 2014-05-15 4 M 0 4079 0 A 12393 D Common Stock 2014-05-19 4 S 0 2940 2.4795 D 9453 D Restricted Share Units 2014-05-15 4 M 0 2615 0 D Common Stock 2615 2614 D Restricted Share Units 2014-05-15 4 M 0 4079 0 D Common Stock 4079 8159 D Shares of Common Stock acquired upon settlement of Restricted Share Units ("RSUs") granted May 24, 2012 pursuant to the Clean Diesel Technologies, Inc. ("CDTI") Stock Incentive Plan. Shares of Common Stock acquired upon settlement of RSUs granted March 20, 2013 pursuant to the CDTI Stock Incentive Plan. Shares were sold to cover the reporting person's tax obligation in connection with the issuance of the 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 $2.43 to $2.54, inclusive. The reporting person undertakes to provide CDTI, and 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. RSU vests as to 1/3 on each of March 20, 2013, March 20, 2014 and March 20, 2015. 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, 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. /s/Kristi Cushing for David E. Shea 2014-05-19