SEC Form 4/A · accession 0001426048-17-000002
CDTI ADVANCED MATERIALS, INC. · CDTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Matthew Beale
Officer — Chief Executive Officer · Director
Period of report
Dec 16, 2016
Accepted (ET)
Jan 26, 2017 · 2:01 pm 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 StockF2 | Dec 16, 2016 | P | 12,500 | $2.00 | A | 27,437 | 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 | 480,000 | A | — | Dec 16, 2026 | Common Stock | 480,000 | 480,000 | 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.
- F2This Amended Form 4 is being filed to correct the amount of securities beneficially owned following the reported transaction to reflect a reverse stock split that occurred on July 22, 2016.