MCDERMOTT CHARLES J 4
4 · CLEAN DIESEL TECHNOLOGIES INC · Filed Oct 19, 2010
Insider Transaction Report
Form 4
ELLIS ALEXANDER III
Director10% Owner
Transactions
- Other
Common Stock
2010-10-15+375,853→ 375,853 total - Other
Warrants
2010-10-15+40,220→ 40,220 totalExercise: $7.92From: 2010-10-15→ Common Stock (40,220 underlying) - Other
Common Stock
2010-10-15+26,842→ 402,695 total - Other
Warrants
2010-10-15+15,108→ 55,328 totalExercise: $7.92From: 2010-10-15→ Common Stock (15,108 underlying)
Footnotes (4)
- [F1]This filing is being made as the result of the acquisition of securities of Clean Diesel Technologies, Inc. ("CDTI") by RockPort Capital Partners, L.P. and RP Co-Investment Fund I, L.P. 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 15, 2010. As a result of the Merger, CSI became a wholly owned subsidiary of CDTIl. The reporting persons owned no securities of CDTI prior to the Merger.
- [F2]Such securities are held directly by RockPort Capital Partners, L.P., and may be deemed to be beneficially owned by RockPort Capital I, LLC, the general partner of RockPort Capital Partners, L.P, and by Alexander Ellis III, Janet B. James, William E. James, Charles J. McDermott, David J. Prend and Stoddard M. Wilson, who are the managing members of RockPort Capital I, LLC. All such persons other than RockPort Capital Partners, L.P. 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.
- [F3]Such securities are held directly by RP Co-Investment Fund I, L.P. , and may be deemed to be beneficially owned by RP Co-Investment Fund I GP, LLC, the general partner of RP Co-Investment Fund I, L.P., and by Alexander Ellis III, Janet B. James, William E. James, Charles J. McDermott, David J. Prend and Stoddard M. Wilson, who are the managing members of RP Co-Investment Fund I GP, LLC. All such persons other than RP Co-Investment Fund I, L.P. 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.
- [F4]The warrants expire on the earlier of (a) October 10, 2013 and (b) the date 30 days after CDTI notifies the warrant holder that the market price of CDTI's common stock has exceeded $10.30 for 10 consecutive days.