Filing Details
- Accession Number:
- 0001513162-13-000427
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-06-11 17:21:37
- Reporting Period:
- 2013-06-08
- Filing Date:
- 2013-06-11
- Accepted Time:
- 2013-06-11 16:21:37
- 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 | 2013-06-08 | 1,390 | $0.00 | 5,987 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-06-11 | 525 | $2.03 | 5,462 | 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 | 1,390 | $0.00 | 1,390 | $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
- Shares of Common Stock acquired upon vesting of Restricted Share Units (RSUs) granted June 8, 2011 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.
- 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.
- Each RSU represents a contingent right to receive one share of CDTI common stock.
- RSUs vested as to 1,390 shares on each of June 17, 2011, June 8, 2012 and June 8, 2013. Settlement and delivery of shares for June 8, 2013 vesting occurred on June 10, 2013.
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