Filing Details

Accession Number:
0001513162-14-000616
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-11-12 17:15:53
Reporting Period:
2014-11-10
Filing Date:
2014-11-12
Accepted Time:
2014-11-12 17:15:53
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
1593859 J. Pedro Lopez-Baldrich C/O Clean Diesel Technologies, Inc.
1621 Fiske Place
Oxnard CA 93033
General Counsel 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 2014-11-10 16,667 $0.00 16,667 No 4 M Direct
Common Stock Disposition 2014-11-11 6,642 $2.47 10,025 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 2014-11-10 16,667 $0.00 16,667 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
33,333 No 4 M Direct
Footnotes
  1. Shares of Common Stock acquired upon settlement of Restricted Share Units ("RSUs") granted February 20, 2014 pursuant to the Clean Diesel Technologies, Inc. ("CDTI") Stock Incentive Plan.
  2. 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.
  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 September 5, 2014, September 5, 2015 and September 5, 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 of service, for any or no reason other than death or change in control, will be forfeited.