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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Clean Diesel Technologies (MM) | NASDAQ:CDTID | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 9.65 | 0 | 01:00:00 |
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
|
OMB APPROVAL
OMB Number: 3235-0287 Expires: February 28, 2011 Estimated average burden hours per response... 0.5 |
|
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person
*
CYCAD GROUP, LLC |
2. Issuer Name
and
Ticker or Trading Symbol
CLEAN DIESEL TECHNOLOGIES INC [ CDTI ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __ X __ 10% Owner _____ Officer (give title below) _____ Other (specify below) |
6187 CARPENTERIA AVENUE, SUITE 300, P.O. BOX 5010 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
CARPENTERIA, CA 93014-5010 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person _ X _ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
||||||||||
1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 10/15/2010 | J | 369470 (1) | A | $0 | 369470 (1) | D (2) |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
|||||||||||||||
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrants | $7.92 | 10/15/2010 | J | 28143 (1) | 10/15/2010 | (3) | Common Stock | 28143 | $0 | 28143 | D (2) | ||||
Warrants | $2.78 | 10/15/2010 | J | 9859 (4) | 10/15/2010 | 10/1/2014 | Common Stock | 9859 (4) | $0 | 9859 (4) | D (2) |
Explanation of Responses: | |
( 1) | This filing is being made as the result of the acquisition of securities of Clean Diesel Technologies, Inc. ("CDTI") by the reporting persons in exchange for securities of Catalytic Solutions, Inc. ("CSI") previously held thereby, pursuant to the merger (the "Merger") of a wholly owned subsidiary of CDTI into CSI on October 12, 2010. As a result of the Merger, CSI became a wholly owned subsidiary of CDTI. The reporting persons owned no securities of CDTI prior to the Merger. |
( 2) | Such securities are held directly by Cycad Group, LLC ("Cycad"), and may be deemed to be beneficially owned by K. Leonard Judson and Paul F. Glenn, who serve as the sole directors of Cycad. All such persons other than Cycad disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such reporting person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
( 3) | The warrant expires on the earlier of (a) October 15, 2013 and (b) the date 30 days after CDTI notifies the warrant holder that the market price of CDTI's common stock has exceeded $10.50 for 10 consecutive days. |
( 4) | Excludes warrants to purchase an additional 8,067 shares of CDTI common stock that CDTI is obligated to issue to Cycad upon exercise of these warrants, which warrants, if issued, will have the same terms as the warrants described in the row above. |
Reporting Owners
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Reporting Owner Name / Address |
|
||||
Director | 10% Owner | Officer | Other | ||
CYCAD GROUP, LLC
6187 CARPENTERIA AVENUE, SUITE 300 P.O. BOX 5010 CARPENTERIA, CA 93014-5010 |
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X |
|
|
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JUDSON K LEONARD
6187 CARPENTERIA AVENUE, SUITE 300 P.O. BOX 5010 CARPENTERIA, CA 93014-5010 |
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X |
|
|
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GLENN PAUL F
6187 CARPENTERIA AVENUE, SUITE 300 P.O. BOX 5010 CARPENTERIA, CA 93014-5010 |
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X |
|
|
Signatures
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||
CYCAD GROUP LLC, By: /s/ K. Leonard Judson, President | 10/19/2010 | |
** Signature of Reporting Person |
Date
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K. LEONARD JUDSON, By: /s/ K. Leonard Judson | 10/19/2010 | |
** Signature of Reporting Person |
Date
|
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PAUL F. GLENN, By: /s/ K. Leonard Judson, Attorney-in-Fact | 10/19/2010 | |
** Signature of Reporting Person |
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1 Year Clean Diesel Technologies (MM) Chart |
1 Month Clean Diesel Technologies (MM) Chart |
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