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Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2012-06-12 17:26:10
Reporting Period:
Filing Date:
Accepted Time:
2012-06-12 16:26:10
SEC Url:
Form 4 Filing
Cik Name Symbol Sector (SIC) IRS No
949428 Clean Diesel Technologies Inc CDTI Industrial & Commercial Fans & Blowers & Air Purifing Equip (3564) 061393453
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 2012-06-08 1,390 $0.00 2,139 No 4 M Direct
Common Stock Disposition 2012-06-11 625 $2.19 1,514 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 Stock Units Acquisiton 2012-06-08 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
1,390 2012-06-08 No 4 M Direct
  1. Shares of common stock acquired upon vesting of Restricted Stock Units (RSUs) granted June 8, 2011 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. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.17 to $2.23, 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.
  4. Each RSU represents a contingent right to receive one share of CDTI common stock.
  5. The RSU vests as to 1/3 on the seventh business day from June 8, 2011, the date of grant, and 1/3 each on the first and second anniversary of 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 other than death, will be forfeited.