- Initial Statement of Beneficial Ownership (3)
October 19 2010 - 5:12PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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February 28, 2011
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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ELLIS ALEXANDER III
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2. Date of Event Requiring Statement (MM/DD/YYYY)
10/15/2010
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3. Issuer Name
and
Ticker or Trading Symbol
CLEAN DIESEL TECHNOLOGIES INC [CDTI]
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(Last)
(First)
(Middle)
C/O ROCKPORT CAPITAL PARTNERS, LP, 160 FEDERAL STREET, 18TH FLOOR
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__
X
__ Director
___
X
___ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Street)
BOSTON, MA 02110
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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No securities beneficially owned
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0
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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ELLIS ALEXANDER III
C/O ROCKPORT CAPITAL PARTNERS, LP
160 FEDERAL STREET, 18TH FLOOR
BOSTON, MA 02110
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X
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X
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RockPort Capital Partners, L.P.
160 FEDERAL STREET, 18TH FLOOR
BOSTON, MA 02110
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X
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X
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ROCKPORT CAPITAL I LLC
160 FEDERAL STREET, 18TH FLOOR
BOSTON, MA 02110
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X
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X
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RP Co-Investment Fund I, L.P.
160 FEDERAL STREET, 18TH FLOOR
BOSTON, MA 02110
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X
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X
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RP Co-Investment Fund I GP, LLC
160 FEDERAL STREET, 18TH FLOOR
BOSTON, MA 02110
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X
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X
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James Janet Burrows
160 FEDERAL STREET, 18TH FLOOR
BOSTON, MA 02110
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X
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X
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JAMES WILLIAM E
160 FEDERAL STREET, 18TH FLOOR
BOSTON, MA 02110
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X
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X
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MCDERMOTT CHARLES J
160 FEDERAL STREET, 18TH FLOOR
BOSTON, MA 02110
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X
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X
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Prend David J
160 FEDERAL STREET, 18TH FLOOR
BOSTON, MA 02110
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X
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X
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Wilson Stoddard Moran
160 FEDERAL STREET, 18TH FLOOR
BOSTON, MA 02110
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X
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X
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Signatures
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ALEXANDER ELLIS III, By: /s/ Tom Scott, Attorney-in-Fact
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10/19/2010
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**
Signature of Reporting Person
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Date
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ROCKPORT CAPITAL PARTNERS, LP, By: Rockport Capital I, LLC, General Partner, By: /s/ Tom Scott, Attorney-in-Fact
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10/19/2010
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**
Signature of Reporting Person
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Date
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RP CO-INVESTMENT FUND I, L.P., By: RP Co-Investment Fund I GP, LLC, By: /s/ Tom Scott, Attorney-in-Fact
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10/19/2010
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**
Signature of Reporting Person
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Date
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ROCKPORT CAPITAL I, LLC, By: /s/ Tom Scott, Attorney-in-Fact
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10/19/2010
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**
Signature of Reporting Person
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Date
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RP CO-INVESTMENT FUND I GP, LLC, By: /s/ Tom Scott, Attorney-in-Fact
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10/19/2010
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**
Signature of Reporting Person
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Date
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JANET B. JAMES, By: /s/ Tom Scott, Attorney-in-Fact
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10/19/2010
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**
Signature of Reporting Person
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Date
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WILLIAM E. JAMES, By: /s/ Tom Scott, Attorney-in-Fact
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10/19/2010
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**
Signature of Reporting Person
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Date
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CHARLES J. MCDERMOTT, By: /s/ Tom Scott, Attorney-in-Fact
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10/19/2010
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**
Signature of Reporting Person
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Date
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DAVID J. PREND, By: /s/ Tom Scott, Attorney-in-Fact
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10/19/2010
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**
Signature of Reporting Person
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Date
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STODDARD M. WILSON, By: /s/ Tom Scott, Attorney-in-Fact
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10/19/2010
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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