0001513162-15-000487.txt : 20150811
0001513162-15-000487.hdr.sgml : 20150811
20150811170434
ACCESSION NUMBER: 0001513162-15-000487
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150807
FILED AS OF DATE: 20150811
DATE AS OF CHANGE: 20150811
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: Shea David Eric
CENTRAL INDEX KEY: 0001502954
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33710
FILM NUMBER: 151044658
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
2015-08-07
0
0000949428
CLEAN DIESEL TECHNOLOGIES INC
CDTI
0001502954
Shea David Eric
C/O CLEAN DIESEL TECHNOLOGIES, INC.
1621 FISKE PLACE
OXNARD
CA
93033
0
1
0
0
Chief Financial Officer
Common Stock
2015-08-07
4
M
0
2614
0
A
12067
D
Common Stock
2015-08-07
4
M
0
4079
0
A
16146
D
Common Stock
2015-08-07
4
M
0
5000
0
A
21146
D
Common Stock
2015-08-10
4
S
0
4616
1.4509
D
16530
D
Restricted Share Units
2015-08-07
4
M
0
2614
0
D
Common Stock
2614
0
D
Restricted Share Units
2015-08-07
4
M
0
4079
0
D
Common Stock
4079
4080
D
Restricted Share Units
2015-08-07
4
M
0
5000
0
D
Common Stock
5000
10000
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 of Common Stock acquired upon settlement of RSUs granted February 20, 2014 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 $1.45 to $1.47, 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.
RSU vests as to 1/3 on each of March 20, 2015, March 20, 2016 and March 20, 2017. 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 Eric Shea
2015-08-11