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
  1. Shares of Common Stock acquired upon vesting of Restricted Share Units (RSUs) granted February 22, 2012 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. Each RSU represents a contingent right to receive one share of CDTI common stock.
  4. 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.
  5. 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.