SEC Form 4 · accession 0001296734-16-000006
CDTI ADVANCED MATERIALS, INC. · CDTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tracy A Kern
Officer — CFO and Secretary
Period of report
Dec 16, 2016
Accepted (ET)
Dec 20, 2016 · 11:29 am EST
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 | Dec 16, 2016 | P | 10,000 | $2.00 | A | 10,000 | D |
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 | $2.25 | Dec 16, 2016 | A | 75,000 | A | — | Dec 16, 2026 | Common Stock | 75,000 | 75,000 | D |
Explanation of responses
- F11/3 of the shares vested immediately, and 2/3 of the shares will vest in four equal annual installments on the anniversaries of the date of grant.