0001513162-15-000273.txt : 20150521 0001513162-15-000273.hdr.sgml : 20150521 20150521172009 ACCESSION NUMBER: 0001513162-15-000273 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150519 FILED AS OF DATE: 20150521 DATE AS OF CHANGE: 20150521 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: 1621 FISKE PLACE CITY: OXNARD STATE: CA ZIP: 93033 BUSINESS PHONE: 805 639 9458 MAIL ADDRESS: STREET 1: 1621 FISKE PLACE CITY: OXNARD STATE: CA ZIP: 93033 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Engles Charles Robert CENTRAL INDEX KEY: 0001503473 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33710 FILM NUMBER: 15883689 MAIL ADDRESS: STREET 1: C/O CLEAN DIESEL TECHNOLOGIES, INC. STREET 2: 1621 FISKE PLACE CITY: OXNARD STATE: CA ZIP: 93033 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2015-05-19 0 0000949428 CLEAN DIESEL TECHNOLOGIES INC CDTI 0001503473 Engles Charles Robert C/O CLEAN DIESEL TECHNOLOGIES, INC. 1621 FISKE PLACE OXNARD CA 93033 1 0 0 0 Common Stock 2015-05-19 4 M 0 5882 0 A 30875 D Restricted Share Units 2015-05-19 4 M 0 5882 0 D Common Stock 5882 0 D Restricted Share Units 2015-05-20 4 A 0 15075 0 A Common Stock 15075 15075 D Shares of Common Stock acquired upon settlement of Restricted Share Units (RSUs) granted May 21, 2014 pursuant to the Clean Diesel Technologies, Inc. (CDTI) Stock Incentive Plan. Each Restricted Share Unit (RSU) represents a contingent right to receive one share of Issuer's 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 50% on November 20, 2015 and 50% on the earlier of 1) May 20, 2016, or 2) immediately prior to the commencement of the Issuer's 2016 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. /s/Kristi Cushing for Charles Robert Engles 2015-05-21