0001513162-13-000428.txt : 20130611 0001513162-13-000428.hdr.sgml : 20130611 20130611165322 ACCESSION NUMBER: 0001513162-13-000428 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130608 FILED AS OF DATE: 20130611 DATE AS OF CHANGE: 20130611 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CLEAN DIESEL TECHNOLOGIES INC CENTRAL INDEX KEY: 0000949428 STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL & COMMERCIAL FANS & BLOWERS & AIR PURIFYING EQUIP [3564] IRS NUMBER: 061393453 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4567 TELEPHONE ROAD STREET 2: SUITE 100 CITY: VENTURA STATE: CA ZIP: 93003 BUSINESS PHONE: 805 639 9458 MAIL ADDRESS: STREET 1: 4567 TELEPHONE ROAD STREET 2: SUITE 100 CITY: VENTURA STATE: CA ZIP: 93003 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Golden Stephen John CENTRAL INDEX KEY: 0001502611 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33710 FILM NUMBER: 13906553 MAIL ADDRESS: STREET 1: C/O CLEAN DIESEL TECHNOLOGIES, INC. STREET 2: 4567 TELEPHONE ROAD, SUITE 206 CITY: VENTURA STATE: CA ZIP: 93003 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2013-06-08 0 0000949428 CLEAN DIESEL TECHNOLOGIES INC CDTI 0001502611 Golden Stephen John C/O CLEAN DIESEL TECHNOLOGIES, INC. 4567 TELEPHONE ROAD, SUITE 100 VENTURA CA 93003 0 1 0 0 Chief Technology Officer Common Stock 2013-06-08 4 M 0 1780 0 A 19495 D Common Stock 2013-06-11 4 S 0 810 2.0288 D 18685 D Restricted Share Units 2013-06-08 4 M 0 1780 0 D Common Stock 1780 0 D 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 1,780 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. /s/Kristi Cushing for Stephen J. Golden 2013-06-11