Filing Details

Accession Number:
0001513162-13-000430
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-06-11 17:40:43
Reporting Period:
2013-06-08
Filing Date:
2013-06-11
Accepted Time:
2013-06-11 17:40:43
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
1502954 Eric David Shea C/O Clean Diesel Technologies, Inc.
4567 Telephone Road, Suite 100
Ventura CA 93003
Vice President, Finance 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 2013-06-08 557 $0.00 5,976 No 4 M Direct
Common Stock Disposition 2013-06-11 277 $2.03 5,699 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 2013-06-08 557 $0.00 557 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 M Direct
Footnotes
  1. Shares of Common Stock acquired upon vesting of Restricted Share Units (RSUs) granted June 8, 2011 pursuant to the CDTI Stock Incentive Plan.
  2. 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.
  3. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.02 to $2.04, inclusive. The reporting person undertakes to provide CDTI, any 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.
  4. Each RSU represents a contingent right to receive one share of CDTI common stock.
  5. RSUs vested as to 556 shares on June 17, 2011 and 557 shares on each of June 8, 2012 and June 8, 2013. Settlement and delivery of shares for June 8, 2013 vesting occurred on June 10, 2013.