SEC Form 4 · accession 0001179110-15-014663
CDTI ADVANCED MATERIALS, INC. · CDTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew Beale
Officer — Chief Executive Officer · Director
Period of report
Nov 5, 2015
Accepted (ET)
Nov 9, 2015 · 8:08 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000949428
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $1.79 | Nov 5, 2015 | A | 500,000 | A | — | Nov 5, 2025 | Common Stock | 500,000 | 500,000 | D |
Explanation of responses
- F150% of the options shall vest and become exercisable on March 31, 2016 and 50% of the options shall vest and become exercisable on December 31, 2016, subject to the reporting person's continued employment with the Company through each vesting date.