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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
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 |
ALEXANDER ELLIS III, By: /s/ Alexander Ellis III | 07/15/2011 | |
**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 | 07/15/2011 | |
**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 | 07/15/2011 | |
**Signature of Reporting Person | Date | |
ROCKPORT CAPITAL I LLC, By: /s/ Janet B. James Name: Janet B. James Title: Managing Member | 07/15/2011 | |
**Signature of Reporting Person | Date | |
RP CO-INVESTMENT FUND I GP, LLC, By: /s/ Janet B. James Name: Janet B. James Title: Managing Member | 07/15/2011 | |
**Signature of Reporting Person | Date | |
JANET B. JAMES, By: /s/ Janet B. James | 07/15/2011 | |
**Signature of Reporting Person | Date | |
WILLIAM E. JAMES, By: /s/ William E. James | 07/15/2011 | |
**Signature of Reporting Person | Date | |
CHARLES J. MCDERMOTT, By: /s/ Charles J. McDermott | 07/15/2011 | |
**Signature of Reporting Person | Date | |
DAVID J. PREND, By: /s/ David J. Prend | 07/15/2011 | |
**Signature of Reporting Person | Date | |
STODDARD M. WILSON, By: /s/ Stoddard M. Wilson | 07/15/2011 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | This filing is being made as the result of the disposition of securities of Clean Diesel Technologies, Inc. by RockPort Capital Partners, L.P. and RP Co-Investment Fund I, L.P. in a public offering that closed on July 5, 2011. |
(2) | 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. |
(3) | 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. |