Earnings Feed
Start Free
Home/Filings/4/0001140361-10-041626
4//SEC Filing

MCDERMOTT CHARLES J 4

Accession 0001140361-10-041626

CIK 0000949428other
View on SEC.govCompany Profile

Filed

Oct 18, 8:00 PM ET

Accepted

Oct 19, 5:14 PM ET

Size

27.2 KB

Accession

0001140361-10-041626

Insider Transaction Report

Form 4
Period: 2010-10-15
CLEAN DIESEL TECHNOLOGIES INCCDTI
JAMES WILLIAM E
Director10% Owner
Transactions
  • Other

    Common Stock

    2010-10-15+26,842→ 402,695 total
  • Other

    Warrants

    2010-10-15+40,220→ 40,220 total
    Exercise: $7.92From: 2010-10-15→ Common Stock (40,220 underlying)
  • Other

    Common Stock

    2010-10-15+375,853→ 375,853 total
  • Other

    Warrants

    2010-10-15+15,108→ 55,328 total
    Exercise: $7.92From: 2010-10-15→ Common Stock (15,108 underlying)
MCDERMOTT CHARLES J
Director10% Owner
Transactions
  • Other

    Common Stock

    2010-10-15+375,853→ 375,853 total
  • Other

    Warrants

    2010-10-15+40,220→ 40,220 total
    Exercise: $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 total
    Exercise: $7.92From: 2010-10-15→ Common Stock (15,108 underlying)
RockPort Capital Partners, L.P.
Director10% Owner
Transactions
  • Other

    Warrants

    2010-10-15+40,220→ 40,220 total
    Exercise: $7.92From: 2010-10-15→ Common Stock (40,220 underlying)
  • Other

    Common Stock

    2010-10-15+375,853→ 375,853 total
  • Other

    Warrants

    2010-10-15+15,108→ 55,328 total
    Exercise: $7.92From: 2010-10-15→ Common Stock (15,108 underlying)
  • Other

    Common Stock

    2010-10-15+26,842→ 402,695 total
ROCKPORT CAPITAL I LLC
Director10% Owner
Transactions
  • Other

    Warrants

    2010-10-15+40,220→ 40,220 total
    Exercise: $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 total
    Exercise: $7.92From: 2010-10-15→ Common Stock (15,108 underlying)
  • Other

    Common Stock

    2010-10-15+375,853→ 375,853 total
RP Co-Investment Fund I GP, LLC
Director10% Owner
Transactions
  • Other

    Common Stock

    2010-10-15+26,842→ 402,695 total
  • Other

    Warrants

    2010-10-15+40,220→ 40,220 total
    Exercise: $7.92From: 2010-10-15→ Common Stock (40,220 underlying)
  • Other

    Common Stock

    2010-10-15+375,853→ 375,853 total
  • Other

    Warrants

    2010-10-15+15,108→ 55,328 total
    Exercise: $7.92From: 2010-10-15→ Common Stock (15,108 underlying)
James Janet Burrows
Director10% Owner
Transactions
  • Other

    Common Stock

    2010-10-15+26,842→ 402,695 total
  • Other

    Warrants

    2010-10-15+40,220→ 40,220 total
    Exercise: $7.92From: 2010-10-15→ Common Stock (40,220 underlying)
  • Other

    Common Stock

    2010-10-15+375,853→ 375,853 total
  • Other

    Warrants

    2010-10-15+15,108→ 55,328 total
    Exercise: $7.92From: 2010-10-15→ Common Stock (15,108 underlying)
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 total
    Exercise: $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 total
    Exercise: $7.92From: 2010-10-15→ Common Stock (15,108 underlying)
RP Co-Investment Fund I, L.P.
Director10% Owner
Transactions
  • Other

    Warrants

    2010-10-15+40,220→ 40,220 total
    Exercise: $7.92From: 2010-10-15→ Common Stock (40,220 underlying)
  • Other

    Common Stock

    2010-10-15+26,842→ 402,695 total
  • Other

    Common Stock

    2010-10-15+375,853→ 375,853 total
  • Other

    Warrants

    2010-10-15+15,108→ 55,328 total
    Exercise: $7.92From: 2010-10-15→ Common Stock (15,108 underlying)
Prend David J
Director10% Owner
Transactions
  • Other

    Common Stock

    2010-10-15+375,853→ 375,853 total
  • Other

    Warrants

    2010-10-15+40,220→ 40,220 total
    Exercise: $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 total
    Exercise: $7.92From: 2010-10-15→ Common Stock (15,108 underlying)
Wilson Stoddard Moran
Director10% Owner
Transactions
  • Other

    Warrants

    2010-10-15+15,108→ 55,328 total
    Exercise: $7.92From: 2010-10-15→ Common Stock (15,108 underlying)
  • Other

    Common Stock

    2010-10-15+26,842→ 402,695 total
  • Other

    Common Stock

    2010-10-15+375,853→ 375,853 total
  • Other

    Warrants

    2010-10-15+40,220→ 40,220 total
    Exercise: $7.92From: 2010-10-15→ Common Stock (40,220 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.

Documents

1 file

Issuer

CLEAN DIESEL TECHNOLOGIES INC

CIK 0000949428

→
Entity typeother

Related Parties

1
  • filerCIK 0001241877

Filing Metadata

Form type
4
Filed
Oct 18, 8:00 PM ET
Accepted
Oct 19, 5:14 PM ET
Size
27.2 KB
View on SEC.gov