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Filing Details

Accession Number:: 0001513162-15-000484
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2015-08-11 16:07:05
Reporting Period:: 2015-08-07

Filing Date:: 2015-08-11
Accepted Time:: 2015-08-11 16:07:05
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
1502611	John Stephen Golden	C/O Clean Diesel Technologies, Inc. 1621 Fiske Place Oxnard CA 93033	Chief Technology Officer	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2015-08-07	6,536	$0.00	34,740	No	4	M	Direct
Common Stock	Acquisiton	2015-08-07	8,499	$0.00	43,239	No	4	M	Direct
Common Stock	Acquisiton	2015-08-07	5,532	$0.00	48,771	No	4	M	Direct
Common Stock	Disposition	2015-08-10	8,048	$1.51	40,723	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Restricted Share Units	Disposition	2015-08-07	6,536	$0.00	6,536	$0.00
Common Stock	Restricted Share Units	Disposition	2015-08-07	8,499	$0.00	8,499	$0.00
Common Stock	Restricted Share Units	Disposition	2015-08-07	5,532	$0.00	5,532	$0.00

Remaning Holdings	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	No	4	M	Direct
8,500	No	4	M	Direct
11,065	No	4	M	Direct

Footnotes

Shares of Common Stock acquired upon settlement of Restricted Share Units ("RSUs") granted February 22, 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 March 13, 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 $1.51 to $1.5101, 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.