Filing Details
- Accession Number:
- 0001209191-11-035828
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-06-21 20:02:25
- Reporting Period:
- 2011-06-17
- Filing Date:
- 2011-06-21
- Accepted Time:
- 2011-06-21 20:02:25
- 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 |
---|---|---|---|---|---|---|---|
1502609 | Frank Charles Call | C/O Clean Diesel Technologies, Inc. 4567 Telephone Road, Suite 206 Ventura CA 93003 | Chief Executive Officer | Yes | 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 | 2011-06-17 | 41,413 | $0.00 | 41,580 | No | 4 | M | Direct | |
Common Stock | Disposition | 2011-06-20 | 3,516 | $5.80 | 38,064 | No | 4 | S | Direct | |
Common Stock | Disposition | 2011-06-21 | 12,895 | $5.78 | 25,169 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Restricted Stock Units | Disposition | 2011-06-17 | 41,413 | $0.00 | 41,413 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2011-06-17 | No | 4 | M | Direct |
Footnotes
- Shares of common stock acquired upon vesting of Restricted Stock Units (RSUs) granted June 8, 2011 pursuant to the CDTI 1994 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.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $5.80 to $5.81, 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 ranges set forth in footnotes 3 and 4 to this Form 4.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $5.65 to $5.95, inclusive.
- Each RSU represents a contingent right to receive one share of CDTI common stock.
- The RSU vests as to 100% on the seventh business day from June 8, 2011, the date of grant. Issuance will occur on vest date. RSUs that have not vested at the time of the reporting person's termination of service, for any or no reason, will be forfeited.