SEC Form 4 · accession 0001695602-17-000002
CDTI ADVANCED MATERIALS, INC. · CDTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter James Chase
Officer — Chief Operating Officer
Period of report
Feb 24, 2017
Accepted (ET)
Feb 24, 2017 · 8:49 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 | $2.60 | Feb 24, 2017 | A | 100,000 | A | — | Feb 24, 2027 | Common Stock | 100,000 | 100,000 | D |
Explanation of responses
- F1The shares will vest in four equal installments of 25,000 shares on each of January 30, 2018, January 30, 2019, January 30, 2020 and January 30, 2021.