0001513162-15-000528.txt : 20150909
0001513162-15-000528.hdr.sgml : 20150909
20150909172130
ACCESSION NUMBER: 0001513162-15-000528
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150908
FILED AS OF DATE: 20150909
DATE AS OF CHANGE: 20150909
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: Lopez-Baldrich Pedro J.
CENTRAL INDEX KEY: 0001593859
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33710
FILM NUMBER: 151099521
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
2015-09-08
0
0000949428
CLEAN DIESEL TECHNOLOGIES INC
CDTI
0001593859
Lopez-Baldrich Pedro J.
C/O CLEAN DIESEL TECHNOLOGIES, INC.
1621 FISKE PLACE
OXNARD
CA
93033
0
1
0
0
General Counsel
Common Stock
2015-09-08
4
M
0
16666
0
A
29483
D
Common Stock
2015-09-09
4
S
0
6428
1.5789
D
23055
D
Restricted Share Units
2015-09-08
4
M
0
16666
0
D
Common Stock
16666
16667
D
Shares of Common Stock acquired upon settlement of Restricted Share Units ("RSUs") granted February 20, 2014 pursuant to the Clean Diesel Technologies, Inc. ("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 $1.57 to $1.60, 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 September 5, 2014, September 5, 2015 and September 5, 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 Pedro J. Lopez-Baldrich
2015-09-09