SEC Form 4 · accession 0001104659-16-142251
CDTI ADVANCED MATERIALS, INC. · CDTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lon E Bell
Director
Period of report
Aug 30, 2016
Accepted (ET)
Aug 31, 2016 · 2:57 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000949428
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 30, 2016 | A | 317,950 | — | A | 340,494 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Convertible Promissory NoteF1 | $3.55 | Aug 30, 2016 | D | — | D | Apr 11, 2016 | Sep 30, 2017 | Common Stock | 140,845 | 0 | D |
Explanation of responses
- F1The reporting person disposed of a convertible promissory note in the principal amount of $500,000 plus accrued but unpaid interest thereon in exchange for 317,950 shares of common stock in an issuer exchange offer.
Remarks
Exhibit 24 power of attorney filed herewith.