CLEAN DIESEL TECHNOLOGIES INC 5
5 · CLEAN DIESEL TECHNOLOGIES INC · Filed Feb 14, 2017
Insider Transaction Report
Form 5
Golden Stephen John
Chief Technical Officer
Transactions
- Exercise/Conversion
Common Stock
2016-12-22+1,700→ 9,845 total - Exercise/Conversion
Common Stock
2016-12-22+1,106→ 10,951 total - Exercise/Conversion
Restricted Share Units
2016-12-22−1,700→ 0 total→ Common Stock (1,700 underlying) - Exercise/Conversion
Restricted Share Units
2016-12-22−1,106→ 1,107 total→ Common Stock (1,106 underlying)
Footnotes (5)
- [F1]Shares of Common Stock acquired upon settlement of RSUs granted March 20, 2013 pursuant to the CDTI Stock Incentive Plan.
- [F2]Shares of Common Stock acquired upon settlement of RSUs granted March 13, 2014 pursuant to the CDTI Stock Incentive Plan.
- [F3]Each RSU represents a contingent right to receive one share of CDTI common stock.
- [F4]RSU vests as to 1/3 on each of March 20, 2014, March 20, 2015 and March 20, 2016. Issuance to occur as soon as practicable following the date of vesting and subject to compliance with Issuer's Insider Trading Policy, but in all cases within two and one-half months following the end of the Issuer's tax year that includes the date such RSUs vest. RSUs that have not vested at the time of the reporting person's termination, for any or no reason other than death, will be forfeited.
- [F5]RSU vests as to 1/3 on each of March 20, 2015, March 20, 2016 and March 20, 2017. Issuance to occur as soon as practicable following the date of vesting and subject to compliance with Issuer's Insider Trading Policy, but in all cases within two and one-half months following the end of the Issuer's tax year that includes the date such RSUs vest. RSUs that have not vested at the time of the reporting person's termination, for any or no reason other than death, will be forfeited.