0001296734-18-000003.txt : 20181016 0001296734-18-000003.hdr.sgml : 20181016 20181016211043 ACCESSION NUMBER: 0001296734-18-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181012 FILED AS OF DATE: 20181016 DATE AS OF CHANGE: 20181016 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kern Tracy A CENTRAL INDEX KEY: 0001296734 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33710 FILM NUMBER: 181125307 MAIL ADDRESS: STREET 1: C/O CDTI ADVANCED MATERIALS, INC. STREET 2: 1700 FISKE PLACE CITY: OXNARD STATE: CA ZIP: 93033 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CDTI ADVANCED MATERIALS, 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: 1700 FISKE PLACE CITY: OXNARD STATE: CA ZIP: 93033 BUSINESS PHONE: (805)486-4649 MAIL ADDRESS: STREET 1: 1700 FISKE PLACE CITY: OXNARD STATE: CA ZIP: 93033 FORMER COMPANY: FORMER CONFORMED NAME: CLEAN DIESEL TECHNOLOGIES INC DATE OF NAME CHANGE: 19950816 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2018-10-12 0 0000949428 CDTI ADVANCED MATERIALS, INC. CDTI 0001296734 Kern Tracy A C/O CDTI ADVANCED MATERIALS, INC. 1700 FISKE PLACE OXNARD CA 93033 0 1 0 0 CFO and Secretary Stock Option (Right to Buy) 1.5 2018-10-12 4 A 0 9000 0 A 2018-10-12 Common Stock 9000 9000 D The shares will vest in two equal installments of 4,500 shares on each of December 31, 2018 and December 31, 2019. /s/Tracy A. Kern 2018-10-16