0001513162-14-000353.txt : 20140523 0001513162-14-000353.hdr.sgml : 20140523 20140523091336 ACCESSION NUMBER: 0001513162-14-000353 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140521 FILED AS OF DATE: 20140523 DATE AS OF CHANGE: 20140523 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: ELLIS ALEXANDER III CENTRAL INDEX KEY: 0001228600 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33710 FILM NUMBER: 14865585 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2014-05-21 0 0000949428 CLEAN DIESEL TECHNOLOGIES INC CDTI 0001228600 ELLIS ALEXANDER III C/O CLEAN DIESEL TECHNOLOGIES, INC. 4567 TELEPHONE ROAD, STE. 100 VENTURA CA 93003 1 0 0 0 Restricted Share Units 2014-05-21 4 A 0 11764 0 A Common Stock 11764 11764 D Restricted Share Units 2014-05-21 4 A 0 5882 0 A Common Stock 5882 5882 D Each Restricted Share Unit ("RSU") represents a contingent right to receive one share of Clean Diesel Technologies, Inc. ("CDTI") common stock. RSU vests as to 50% on November 21, 2014 and 50% on the earlier of 1) May 21, 2015, or 2) immediately prior to the commencement of the Issuer's 2015 annual meeting of stockholders, in each case as long as the reporting person has continuously remained a director of, or consultant to, the Issuer through such date. 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. RSU vests as to 100% on November 21, 2014. 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. /s/ Kristi Cushing for Alexander Ellis III 2014-05-23