SEC Form 5 · accession 0001502611-17-000001
CDTI ADVANCED MATERIALS, INC. · CDTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen John Golden
Officer — Chief Technology Officer
Period of report
Dec 31, 2016
Accepted (ET)
Feb 14, 2017 · 8:03 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 StockF1 | Dec 22, 2016 | M | 1,700 | $0.00 | A | 9,845 | D | |
| Common StockF2 | Dec 22, 2016 | M | 1,106 | $0.00 | A | 10,951 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Share UnitsF3,F4 | — | Dec 22, 2016 | M | 1,700 | D | — | — | Common Stock | 1,700 | 0 | D |
| Restricted Share UnitsF3,F5 | — | Dec 22, 2016 | M | 1,106 | D | — | — | Common Stock | 1,106 | 1,107 | D |
Explanation of responses
- F1Shares of Common Stock acquired upon settlement of RSUs granted March 20, 2013 pursuant to the CDTI Stock Incentive Plan.
- F2Shares of Common Stock acquired upon settlement of RSUs granted March 13, 2014 pursuant to the CDTI Stock Incentive Plan.
- F3Each RSU represents a contingent right to receive one share of CDTI common stock.
- F4RSU vests as to 1/3 on each of March 20, 2014, March 20, 2015 and March 20, 2016. Issuance to occur as soon as practicable following the date of vesting and subject to compliance with Issuer's Insider Trading Policy, but in all cases within two and one-half months following the end of the Issuer's tax year that includes the date such RSUs vest. RSUs that have not vested at the time of the reporting person's termination, for any or no reason other than death, will be forfeited.
- F5RSU vests as to 1/3 on each of March 20, 2015, March 20, 2016 and March 20, 2017. Issuance to occur as soon as practicable following the date of vesting and subject to compliance with Issuer's Insider Trading Policy, but in all cases within two and one-half months following the end of the Issuer's tax year that includes the date such RSUs vest. RSUs that have not vested at the time of the reporting person's termination, for any or no reason other than death, will be forfeited.