Form D · Other
CLEAN DIESEL TECHNOLOGIES INC
Oxnard, CA · CIK 0000949428
Offering snapshot reported Nov 14, 2016 · SEC filing
- Reported sold
- $1.9M Offering amount: $10.3M
- Investors reported
- 96 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Nov 4, 2016 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Nov 14, 2016 | Initial | $1,899,920 | No comparison | 96 | SEC filing |
| Dec 10, 2015 | Initial | $3,118,538 | No comparison | 3 | SEC filing |
| Nov 3, 2010 | Initial | $9,526,079 | No comparison | 11 | SEC filing |
| Oct 8, 2009 | Initial | $58,879 | No comparison | 2 | SEC filing |
Offering details
- Securities
- Equity
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $190K
- Finders' fees
- $0
- Form D file number
- 021-274416
The second closing of the Offering for gross proceeds of $8,444,580 is contemplated to occur following the effectiveness of the written consent of the Company?s majority stockholder in accordance with the Nasdaq Marketplace Rules.
The Placement Agent is entitled to shares equal to 10% of the shares issued in the Offering and a warrant to purchase shares equal to 10% of the shares issued in the Offering, excluding shares sold to any officer, director or significant stockholder.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| MDB Capital Group LLC | 42677 | MDB Capital Group LLC · CRD 42677 |
Source: Form D, filed Nov 14, 2016. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Michael L Asmussen | Director, Executive |
| Matthew Beale | Director, Executive |
| Till Becker | Director |
| Lon E Bell | Director |
| Charles F. Call | Director, Executive |
| Bernard H. Cherry | Director |
| John Anthony Dehavilland | Director |
| Alexander Ellis Iii | Director |
| Charles R. Engles | Director |
| Steven Golden | Executive |
| Derek R Gray | Director |
| Charles Whitney Grinnell | Director, Executive |
| Christopher Harris | Executive |
| Tracy A Kern | Executive |
| Pedro J. Lopez Baldrich | Executive |
| Nikhil A. Mehta | Executive |
| David F Merrion | Director |
| Mungo Park | Director |
| Timothy Rogers | Director, Executive |
| David E. Shea | Executive |
| Daniel K. Skelton | Executive |
Issuer details
Industry: Other (See others in industry)
Address:
1621 Fiske Place
Oxnard, CA, 93033
Oxnard, CA, 93033