Filing Details
- Accession Number:
- 0001513162-13-000223
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-03-22 16:51:33
- Reporting Period:
- 2013-03-20
- Filing Date:
- 2013-03-22
- Accepted Time:
- 2013-03-22 16:51:33
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 949428 | Clean Diesel Technologies Inc | CDTI | Industrial & Commercial Fans & Blowers & Air Purifing Equip (3564) | 061393453 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1502950 | Jay Christopher Harris | C/O Clean Diesel Technologies, Inc. 4567 Telephone Road, Suite 100 Ventura CA 93003 | Chief Operations Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-03-20 | 5,446 | $0.00 | 6,960 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-03-21 | 2,363 | $2.15 | 4,597 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Share Units | Disposition | 2013-03-20 | 5,446 | $0.00 | 5,446 | $0.00 |
| Common Stock | Restricted Share Units | Acquisiton | 2013-03-20 | 19,122 | $0.00 | 19,122 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 10,893 | No | 4 | M | Direct | ||
| 19,122 | No | 4 | A | Direct |
Footnotes
- Shares of Common Stock acquired upon vesting of Restricted Share Units (RSUs) granted February 22, 2012 pursuant to the CDTI Stock Incentive Plan.
- Shares were sold to cover the reporting person's tax obligation in connection with the vesting of RSUs and conversion into shares of Common Stock.
- Each RSU represents a contingent right to receive one share of CDTI common stock.
- RSUs vest as to 1/3 on each of March 20, 2013, March 20, 2014, and March 20, 2015. Issuance will occur on vest date subject to compliance with Issuer's Insider Trading Policy and all applicable requirements of federal, state or foreign law with respect to such securities. RSUs that have not vested at the time of the reporting person's termination of service, for any or no reason other than death, will be forfeited.
- RSUs vest as to 1/3 on each the first, second and third anniversaries of the grant date. Issuance will occur on vest date subject to compliance with Issuer's Insider Trading Policy and all applicable requirements of federal, state or foreign law with respect to such securities. RSUs that have not vested at the time of the reporting person's termination of service, for any or no reason other than death, will be forfeited.
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