Cdti Advanced Materials, Inc. 

CA

  SEC # 949428

        

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829  SEC Filings   from  5/15/96  to  12/12/18  (None in the Past Year)

List All Filings	or	Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent
Most-Recent Filing:		‘EFFECT’ — SEC Notice of Effectiveness — Filed as:  Filer / Offerer
New-Filing E-Mail:			Send me notifications of all Filings involving  Cdti Advanced Materials, Inc.

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Forms , Documents & Exhibits  in  453 Filings  Filed as:  Filer / Offerer  or  Owner / Insider

        

Latest Filing			Type		Category	Description		Documents
12/12/18	OLD		EFFECT		SEC:		SEC Notices of Effectiveness  OLD	19
12/10/18	OLD		15-12B		Registration:		Certification of a Termination of Registration of a Class of Securities — Form 15  OLD	1
12/7/18	OLD		S-8 POS		Registration:		Post-Effective Amendments of Form S-8 Registrations  OLD	7
12/7/18	OLD		POS AM		Registration:		Post-Effective Amendments of Registration Statements  OLD	10
11/26/18	OLD		25		Trading:		Notice by an Issuer of the Removal from Listing and Registration on a Securities Exchange of Matured, Redeemed or Retired Securities — Form 25  OLD	1
11/14/18	OLD		8-K		Update:		Current Reports — Form 8-K  OLD  — Press Releases & Conference Calls	181
					8-K Items:
9/12/17	OLD		Business & Operations:			•	Entry into a Material Definitive Agreement — Item 1.01  OLD  — ↓‘EX-10’	47
9/12/17	OLD		"			•	Termination of a Material Definitive Agreement — Item 1.02  OLD  — ↓‘EX-10’	5
9/12/17	OLD		Financial Info:			•	Completion of Acquisition or Disposition of Assets — Item 2.01  OLD  — ↓‘EX-2’	3
11/14/18	OLD		"			•	Results of Operations and Financial Condition — Item 2.02  OLD	28
7/1/16	OLD		"			•	Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03  OLD  — ↓‘EX-10’	3
12/11/15	OLD		"			•	Cost Associated with Exit or Disposal Activities — Item 2.05  OLD  — ↓‘EX-2’	1
11/14/18	OLD		Securities & Trading:			•	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing — Item 3.01  OLD	10
12/16/16	OLD		"			•	Unregistered Sales of Equity Securities — Item 3.02  OLD  — ↓‘EX-1’	19
12/30/10	OLD		"			•	Material Modifications to Rights of Security Holders — Item 3.03  OLD  — ↓‘EX-4’	2
9/20/17	OLD		Accountants & Accounting:			•	Changes in Registrant’s Certifying Accountant — Item 4.01  OLD  — ↓‘EX-16’	3
8/26/10	OLD		"			•	Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review — Item 4.02  OLD  — ↓‘EX-7’	4
9/1/16	OLD		Governance & Management:			•	Changes in Control of Registrant — Item 5.01  OLD	4
10/18/18	OLD		"			•	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02  OLD  — ↓‘EX-17’  — List of Directors & Officers	52
9/25/18	OLD		"			•	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03  OLD  — ↓‘EX-3’	8
12/10/13	OLD		"			•	Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics — Item 5.05  OLD  — ↓‘EX-14’	1
8/29/18	OLD		"			•	Submission of Matters to a Vote of Security Holders — Item 5.07  OLD	11
11/23/15	OLD		Disclosures:			•	Regulation FD Disclosure — Item 7.01  OLD  — ↓‘EX-99’	14
8/29/18	OLD		Events:			•	Other Events — Item 8.01  OLD	29
11/14/18	OLD		Financials:			•	Financial Statements and Exhibits — Item 9.01  OLD	118
11/14/18	OLD		10-Q		Update:		Quarterly Reports — Form 10-Q  OLD  — Financial Reports	73
7/13/18	OLD		424B5		Registration:		Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events  OLD	12
7/9/18	OLD		DEFA14A		Proxy:		Definitive Additional Proxy Soliciting Materials — Schedule 14A  OLD	11
7/9/18	OLD		DEF 14A		Proxy:		Definitive Proxy Statements — Schedule 14A  OLD	24
6/29/18	OLD		PRE 14A		Proxy:		Preliminary Proxy Statements — Schedule 14A  OLD	9
4/2/18	OLD		10-K		Update:		Annual Reports — Form 10-K  OLD  — Financial Reports	29
8/1/17	OLD		424B7		Registration:		Prospectus – Selling Security Holders – Info Previously Omitted  OLD	1
4/3/17	OLD		NT 10-K		Update:		Notice of a Late Filing of a Form 10-K Annual Report — Form 12b-25  OLD	1
1/6/17	OLD		CORRESP		Comment:		Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC	22
12/30/16	OLD		S-3		Registration:		Registration Statements – Securities for Transactions — Form S-3  OLD	7
12/16/16	OLD		S-8		Registration:		Registration Statements – Securities for Certain Employee Benefit Plans — Form S-8  OLD	7
11/21/16	OLD		DEF 14C		Proxy:		Definitive Proxy Info Statement — Schedule 14C  OLD	1
11/14/16	OLD		D		Registration:		Notices of Exempt Offerings of Securities — Form D  OLD	4
11/10/16	OLD		PRE 14C		Proxy:		Preliminary Proxy Info Statement — Schedule 14C  OLD	1
7/11/13	OLD		CT ORDER		SEC:		SEC Confidential Treatment Order  OLD	1
12/6/11	OLD		424B3		Registration:		Prospectuses – New Facts or Events  OLD	8
11/16/11	OLD		S-1		Registration:		Registration Statements (General Form) — Form S-1  OLD	9
6/29/11	OLD		424B1		Registration:		Prospectus – Info Previously Omitted  OLD	1
6/28/11	OLD		S-1MEF		Registration:		Registration Statement to Add Securities to a Prior Form S-1 Registration  OLD	1
11/30/10	OLD		POS EX		Registration:		Post-Effective Amendment of a Registration Statement – Additional Exhibits  OLD	1
10/4/10	OLD		425		Registration:		Prospectuses and Communications – Mergers  OLD	2
9/23/10	OLD		S-4		Registration:		Registration Statements – Securities for Mergers — Form S-4  OLD	5
10/2/07	OLD		CERTNAS		Trading:		Certification by the Nasdaq Stock Market Approving a Listing — Form CERT  OLD	1
9/27/07	OLD		8-A12B		Registration:		Registration Statement for a Class of Securities — Form 8-A  OLD	1
5/8/06	OLD		DEFR14A		Proxy:		Definitive Revised Proxy Soliciting Materials — Schedule 14A  OLD	2
5/17/05	OLD		ARS		Update:		Annual Reports to Security Holders  OLD	3
11/15/99	OLD		NT 10-Q		Update:		Notice of a Late Filing of a Form 10-Q Quarterly Report — Form 12b-25  OLD	1
					General Exhibits:
10/18/18	OLD		EX-10		Material Contracts  OLD			157
9/25/18	OLD		EX-3		Articles of Incorporation/Organization and Bylaws  OLD			23
6/28/18	OLD		EX-4		Instruments, Including Indentures, Defining the Rights of Security Holders  OLD			32
6/28/18	OLD		EX-5		Opinions of Counsel re: Legality  OLD			24
4/2/18	OLD		EX-23		Consents of Experts and Counsel  OLD			72
4/2/18	OLD		EX-21		Subsidiaries Lists  OLD			12
9/12/17	OLD		EX-2		Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD			4
6/5/15	OLD		EX-1		Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD			10
9/23/10	OLD		EX-8		Opinions of Counsel re: Tax Matters  OLD			3
9/1/09	OLD		EX-17		Correspondence re: Departure of a Director  OLD			1
3/29/05	OLD		EX-14		Code of Ethics  OLD			1
3/28/97	OLD		EX-19		Report Furnished to Security Holders  OLD			1
					Additional Exhibits:
11/14/18	OLD		EX-99		Miscellaneous Exhibits, such as Press Releases  OLD  — Press Releases & Conference Calls			119
					Financials:
11/14/18	OLD		EX-31		Certifications — §302 – SOA’02  OLD			139
11/14/18	OLD		EX-32		Certifications — §906 – SOA’02  OLD			69
11/14/18	OLD		XML  &  R#		IDEA Financial Reports Info  OLD  — Financial Reports			1,912
11/14/18	OLD		EXCEL		IDEA Workbooks of Financial Reports Info  OLD  — Workbooks of Financial Reports			37
11/14/18	OLD		EX-101.*		XBRL Data  (XBRL Files)  OLD			180
11/14/18	OLD		ZIP		XBRL Zipped Folders   (Folders of XBRL Files)  OLD			30
9/20/17	OLD		EX-16		Letters re: Changes in Accountants  OLD			5
6/19/08	OLD		EX-7		Correspondence from an Accountant re: Non-Reliance on a Previously Issued Audit Report or Completed Interim Review  OLD			1
11/14/00	OLD		EX-27		Financial Data Schedules {Pre-XBRL}  OLD  — Financial Reports			19
8/7/98	OLD		EX-12		Statement re: the Computation of Ratios  OLD			1
					Graphics:
11/14/18	OLD		GRAPHIC		Photos, Images and Graphs  OLD			381

Forms , Documents & Exhibits  in  378 Filings  Filed re:  Issuer / Subject Company

        

        

Latest Filing			Type		Category	Description		Documents
10/16/18	OLD		4		Ownership:		Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  OLD	268
8/28/18	OLD		3		Ownership:		Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3  OLD	36
2/14/17	OLD		5		Ownership:		Annual Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 5  OLD	1
9/6/16	OLD		SC 13D		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD	6
1/19/16	OLD		SC 13G		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD	26
10/7/10	OLD		DFAN14A		Proxy:		Definitive Additional Non-Management Proxy Soliciting Materials — Schedule 14A  OLD	20
10/6/10	OLD		PRRN14A		Proxy:		Preliminary Revised Non-Management Proxy Soliciting Materials – Contested Solicitations and Other Situations — Schedule 14A  OLD	4
10/4/10	OLD		425		Registration:		Prospectuses and Communications – Mergers  OLD	2
9/17/10	OLD		PREN14A		Proxy:		Preliminary Non-Management Proxy Statements — Schedule 14A  OLD	2
9/16/10	OLD		DEFN14A		Proxy:		Definitive Non-Management Proxy Statements — Schedule 14A  OLD	2
					Letters:
1/5/17	OLD		LETTER		Comment and Other Letters from the SEC  [ a.k.a. UPLOAD ]  OLD  — All Correspondence with the SEC			25
					General Exhibits:
8/28/18	OLD		EX-24		Powers of Attorney  OLD			38
2/9/11	OLD		EX-1		Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD			7
12/3/10	OLD		EX-2		Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD			3
10/22/10	OLD		EX-5		Opinion of Counsel re: Legality  OLD			1
					Additional Exhibits:
9/6/16	OLD		EX-99		Miscellaneous Exhibits, such as Press Releases  OLD			9
					Graphics:
10/4/10	OLD		GRAPHIC		Photos, Images and Graphs  OLD			2

        

Filings History

Year		# of Filings
2018		50
2017		22
2016		47
2015		71
2014		61
2013		47
2012		58
2011		82
2010		118
2009		26
2008		38
2007		59
2006		17
2005		28
2004		40
2003		14
2002		8
2001		6
2000		8
1999		7
1998		10
1997		8
1996		4