|
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
*
ELLIS ALEXANDER III |
2. Issuer Name
and
Ticker or Trading Symbol
CLEAN DIESEL TECHNOLOGIES INC [ CDTI ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__ X __ Director _____ 10% Owner _____ Officer (give title below) __ X __ Other (specify below) Member of 13(d) group |
|
C/O ROCKPORT CAPITAL PARTNERS, LP, 160 FEDERAL STREET, 18TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
|
BOSTON, MA 02110 |
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, par value $0.01 per share | 7/5/2011 | S | 72800 (1) | D | $3.75 | 329895 | D (2) | |||
| Common Stock, par value $0.01 per share | 7/5/2011 | S | 7200 (1) | D | $3.75 | 322695 | D (3) | |||
|
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 | ||||||||
|
Reporting Owners
|
|||||
| Reporting Owner Name / Address |
|
||||
| Director | 10% Owner | Officer | Other | ||
|
ELLIS ALEXANDER III
C/O ROCKPORT CAPITAL PARTNERS, LP 160 FEDERAL STREET, 18TH FLOOR BOSTON, MA 02110 |
X |
|
|
Member of 13(d) group | |
|
RockPort Capital Partners, L.P.
160 FEDERAL STREET, 18TH FLOOR BOSTON, MA 02110 |
|
|
|
Member of 13(d) group | |
|
ROCKPORT CAPITAL I LLC
160 FEDERAL STREET, 18TH FLOOR BOSTON, MA 02110 |
|
|
|
Member of 13(d) group | |
|
RP Co-Investment Fund I, L.P.
160 FEDERAL STREET, 18TH FLOOR BOSTON, MA 02110 |
|
|
|
Member of 13(d) group | |
|
RP Co-Investment Fund I GP, LLC
160 FEDERAL STREET, 18TH FLOOR BOSTON, MA 02110 |
|
|
|
Member of 13(d) group | |
|
James Janet Burrows
160 FEDERAL STREET, 18TH FLOOR BOSTON, MA 02110 |
|
|
|
Member of 13(d) group | |
|
JAMES WILLIAM E
160 FEDERAL STREET, 18TH FLOOR BOSTON, MA 02110 |
|
|
|
Member of 13(d) group | |
|
MCDERMOTT CHARLES J
160 FEDERAL STREET, 18TH FLOOR BOSTON, MA 02110 |
|
|
|
Member of 13(d) group | |
|
Prend David J
160 FEDERAL STREET, 18TH FLOOR BOSTON, MA 02110 |
|
|
|
Member of 13(d) group | |
|
Wilson Stoddard Moran
160 FEDERAL STREET, 18TH FLOOR BOSTON, MA 02110 |
|
|
|
Member of 13(d) group | |
|
Signatures
|
||
| ALEXANDER ELLIS III, By: /s/ Alexander Ellis III | 7/15/2011 | |
| ** Signature of Reporting Person |
Date
|
|
| ROCKPORT CAPITAL PARTNERS, LP, By: Rockport Capital I LLC, General Partner, By: /s/ Janet B. James Name: Janet B. James Title: Managing Member | 7/15/2011 | |
| ** Signature of Reporting Person |
Date
|
|
| RP CO-INVESTMENT FUND I, L.P., By: RP Co-Investment Fund I GP, LLC, By: /s/ Janet B. James Name: Janet B. James Title: Managing Member | 7/15/2011 | |
| ** Signature of Reporting Person |
Date
|
|
| ROCKPORT CAPITAL I LLC, By: /s/ Janet B. James Name: Janet B. James Title: Managing Member | 7/15/2011 | |
| ** Signature of Reporting Person |
Date
|
|
| RP CO-INVESTMENT FUND I GP, LLC, By: /s/ Janet B. James Name: Janet B. James Title: Managing Member | 7/15/2011 | |
| ** Signature of Reporting Person |
Date
|
|
| JANET B. JAMES, By: /s/ Janet B. James | 7/15/2011 | |
| ** Signature of Reporting Person |
Date
|
|
| WILLIAM E. JAMES, By: /s/ William E. James | 7/15/2011 | |
| ** Signature of Reporting Person |
Date
|
|
| CHARLES J. MCDERMOTT, By: /s/ Charles J. McDermott | 7/15/2011 | |
| ** Signature of Reporting Person |
Date
|
|
| DAVID J. PREND, By: /s/ David J. Prend | 7/15/2011 | |
| ** Signature of Reporting Person |
Date
|
|
| STODDARD M. WILSON, By: /s/ Stoddard M. Wilson | 7/15/2011 | |
| ** 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. | |