SEC Form 4/A · accession 0001513162-15-000526
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
Hans Eric Bippus
Officer — Exec VP of Sales & Marketing
Period of report
Sep 2, 2015
Accepted (ET)
Sep 8, 2015 · 5:40 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Share UnitsF1,F2,F3 | — | Sep 2, 2015 | A | 20,000 | A | — | — | Common Stock | 20,000 | 20,000 | D |
Explanation of responses
- F1This amended Form 4 is being filed to correct the vesting for the Restricted Share Unit ("RSU") award reported in Table II of the original Form 4. Only the lines of the original Form 4 requiring correction are being restated on this amended Form 4.
- F2Each RSU represents a contingent right to receive one share of CDTI common stock.
- F3RSUs vest as to 100% on March 2, 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 of service, for any or no reason other than death or change in control, will be forfeited.