Form D Raw Data - Electronic Filing Depository

EFDID: 206129EFD: Raw Data

Issuer: CLEAN DIESEL TECHNOLOGIES INC (0000949428) - D

Accession: 0000949428-16-000003 () (EDGAR Files) (Form D)

Edgar Posted: Nov. 14, 2016
EFD Posted: Nov. 14, 2016

- < edgarSubmission >

< schemaVersion > X0707 </ schemaVersion >

< submissionType > D </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0000949428 </ cik >

< entityName > CLEAN DIESEL TECHNOLOGIES INC </ entityName >

- < issuerAddress >

< street1 > 1621 FISKE PLACE </ street1 >

< city > OXNARD </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93033 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 805 639 9465 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Corporation </ entityType >

- < yearOfInc >

< overFiveYears > true </ overFiveYears >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Matthew </ firstName >

< lastName > Beale </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 1621 Fiske Place </ street1 >

< city > Oxnard </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93033 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Tracy </ firstName >

< middleName > A </ middleName >

< lastName > Kern </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 1621 Fiske Place </ street1 >

< city > Oxnard </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93033 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Till </ firstName >

< lastName > Becker </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 1621 Fiske Place </ street1 >

< city > Oxnard </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93033 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Lon </ firstName >

< middleName > E </ middleName >

< lastName > Bell </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 1621 Fiske Place </ street1 >

< city > Oxnard </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93033 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Mungo </ firstName >

< lastName > Park </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 1621 Fiske Place </ street1 >

< city > Oxnard </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93033 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Steven </ firstName >

< lastName > Golden </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 1621 Fiske Place </ street1 >

< city > Oxnard </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93033 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Other </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > Decline to Disclose </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06b </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > false </ isAmendment >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2016-11-04 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > false </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 0 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > MDB Capital Group LLC </ recipientName >

< recipientCRDNumber > 42677 </ recipientCRDNumber >

< associatedBDName > MDB Capital Group LLC </ associatedBDName >

< associatedBDCRDNumber > 42677 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2425 Cedar Springs Rd </ street1 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75201 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 10344500 </ totalOfferingAmount >

< totalAmountSold > 1899920 </ totalAmountSold >

< totalRemaining > 8444580 </ totalRemaining >

< clarificationOfResponse > 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. </ clarificationOfResponse >

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 96 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 189992 </ dollarAmount >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse > 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. </ clarificationOfResponse >

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > CLEAN DIESEL TECHNOLOGIES INC </ issuerName >

< signatureName > /s/Matthew Beale </ signatureName >

< nameOfSigner > Matthew Beale </ nameOfSigner >

< signatureTitle > Chief Executive Officer </ signatureTitle >

< signatureDate > 2016-11-14 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >