SEC Form 3 · accession 0001104659-16-143173
CDTI ADVANCED MATERIALS, INC. · CDTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kanis S.A.
10% Owner
Period of report
Aug 25, 2016
Accepted (ET)
Sep 6, 2016 · 2:52 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 Stock | holding | — | — | — | 4,962,908 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (right to buy)F1 | $8.75 | holding | — | — | — | Jun 30, 2013 | Nov 11, 2019 | Common Stock | 5,000 | — | D |
| Warrant (right to buy)F1 | $8.75 | holding | — | — | — | Aug 16, 2014 | Nov 11, 2019 | Common Stock | 1,000 | — | D |
| Warrant (right to buy)F1 | $8.75 | holding | — | — | — | Jun 30, 2013 | Nov 11, 2019 | Common Stock | 9,000 | — | D |
| Warrant (right to buy)F1 | $6.25 | holding | — | — | — | Jun 30, 2013 | Nov 11, 2019 | Common Stock | 18,800 | — | D |
| Warrant (right to buy)F1 | $8.75 | holding | — | — | — | Jun 30, 2013 | Nov 11, 2019 | Common Stock | 16,000 | — | D |
Explanation of responses
- F1Expiration 11/11/19 or that date which is 30 days after CDTI gives notice to warrant holder that the market value of one share of CDTI common stock has exceeded 130% of the exercise price of the warrant for 10 consecutive days, commencing on or after the date exercisable.