Securities Registration Statement (simplified Form) (s-3/a)
July 21 2014 - 8:39AM
Edgar (US Regulatory)
As filed with the Securities and Exchange Commission on July
21, 2014
Registration No. 333-196938
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
___________________________
Amendment No. 1
to
FORM
S-3
REGISTRATION STATEMENT
UNDER THE SECURITIES ACT OF
1933
KANDI TECHNOLOGIES GROUP,
INC.
(Exact Name of Registrant as Specified in Its
Charter)
Delaware
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90-0363723
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(State or Other Jurisdiction of Incorporation or
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(I.R.S. Employer Identification Number)
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Organization)
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Jinhua City Industrial Zone
Jinhua, Zhejiang
Province
Peoples Republic of China
Post Code 321016
(86 - 579) 82239856
(Address, Including Zip
Code, and Telephone Number, Including Area Code, of Registrants Principal
Executive
Offices)
Hu Xiaoming, Chief Executive Officer
Kandi
Technologies Group, Inc.
Jinhua City Industrial Zone
Jinhua, Zhejiang Province
Peoples Republic of China
Post Code 321016
(86 - 579) 82239856
(Name, Address, Including Zip Code, and Telephone Number, Including Area
Code, of Agent for Service)
Copies to:
Elizabeth F. Chen, Esq.
Eric M. Hellige, Esq.
Pryor Cashman LLP
7 Times Square
New York, New
York 10036
(212) 421-4100
Approximate date of commencement of proposed sale to the
public:
From time to time after the effective date of this registration
statement
If the only securities being registered on this form are being
offered pursuant to dividend or interest reinvestment plans, please check the
following box. [_]
If any of the securities being registered on this form are to
be offered on a delayed or continuous basis pursuant to Rule 415 under the
Securities Act of 1933, other than securities offered only in connection with
dividend or interest reinvestment plans, check the following box. [X]
If this form is filed to register additional securities for an
offering pursuant to Rule 462(b) under the Securities Act, please check the
following box and list the Securities Act registration statement number of the
earlier effective registration statement for the same offering. [_]
If this form is a post-effective amendment filed pursuant to
Rule 462(c) under the Securities Act, check the following box and list the
Securities Act registration statement number of the earlier effective
registration statement for the same offering. [_]
If this form is a registration statement pursuant to General
Instruction I.D. or a post-effective amendment thereto that shall become
effective upon filing with the Commission pursuant to Rule 462(e) under the
Securities Act, check the following box. [_]
If this form is a post-effective amendment to a registration
statement filed pursuant to General Instruction I.D. filed to register
additional securities or additional classes of securities pursuant to rule
413(b) under the Securities Act, check the following box. [_]
Indicate by check mark whether the registrant is a large
accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller
reporting company. See the definitions of large accelerated filer,
accelerated filer and smaller reporting company in Rule 12b-2 of the
Exchange Act:
Large accelerated filer [_]
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Accelerated filer [X]
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Non-accelerated filer [_]
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Smaller reporting company [_]
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(Do not check if a smaller
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reporting company)
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__________________________
The Registrant hereby amends this Registration Statement on
such date or dates as may be necessary to delay its effective date until the
Registrant shall file a further amendment which specifically states that this
Registration Statement shall thereafter become effective in accordance with
Section 8(a) of the Securities Act or until the Registration Statement shall
become effective on such date as the Securities and Exchange Commission, acting
pursuant to said Section 8(a), may determine.
EXPLANATORY NOTE
This Amendment No. 1 to the registration statement
on Form S-3 (File No. 333-196938) of Kandi Technologies Group, Inc. is being
filed solely to amend Item 16 of Part II thereof and to file the form of
Indenture as Exhibit 4.2 to the registration statement and a revised legal
opinion as Exhibit 5.1 to the registration statement. This Amendment No. 1 does
not modify any provision of the preliminary prospectus contained in Part I or
Items 14, 15 or 17 of Part II of the registration statement. Accordingly, this
Amendment No. 1 does not include a copy of the preliminary prospectus or the
balance of Part II to the registration statement.
PART II
INFORMATION NOT REQUIRED IN PROSPECTUS
Item
16.
Exhibits and Financial Schedule
See the Exhibit Index attached to this registration statement and incorporated
herein by reference.
1
SIGNATURES
Pursuant to the requirements of the Securities
Act, the registrant certifies that it has reasonable grounds to believe that it
meets all of the requirements for filing on Form S-3 and has duly caused this
Amendment No. 1 to the registration statement to be signed on its behalf by the
undersigned, thereunto duly authorized, in the City of Jinhua, the Peoples
Republic of China on the 21
st
day of July, 2014.
KANDI TECHNOLOGIES GROUP, INC.
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By:
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/s/ Hu Xiaoming
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Hu Xiaoming
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Chairman of the Board of
Directors, President and
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Chief Executive Officer
(Principal Executive Officer)
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Pursuant to the requirements of the Securities
Act, this Amendment No. 1 to the registration statement has been signed by the
following persons in the capacities and on the dates indicated.
Signature
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Title
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Date
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/s/ Hu Xiaoming
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Chairman of the Board of Directors,
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Hu Xiaoming
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President and Chief Executive
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July 21, 2014
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Officer (Principal Executive Officer)
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/s/ Zhu Xiaoying
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Chief Financial Officer (Principal
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Zhu Xiaoying
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Financial Officer and Principal
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July 21, 2014
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Accounting Officer) and Director
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*
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Qian Jingsong
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Director
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July 21, 2014
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*
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Ni Guangzheng
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Director
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July 21, 2014
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*
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Jerry Lewin
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Director
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July 21, 2014
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*
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Henry Yu
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Director
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July 21, 2014
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*
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Chen Liming
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Director
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July 21, 2014
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*/s/Hu Xiamoning
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Hu Xiaoming, as Attorney-in-Fact
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2
EXHIBIT INDEX
Exhibit
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Number
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Description
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1.1
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Form of Underwriting Agreement*
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3.1
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Certificate of Incorporation (filed as Exhibit 3.1 to the
Company s Registration Statement on Form SB-2, dated April 1, 2005; File
No. 333-123735).
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3.2
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Certificate For Renewal and Revival of Charter dated May
27, 2007. ** *
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3.3
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Certificate of Amendment of Certificate of Incorporation
(filed as Exhibit 4.2 to the Companys Form S-3, dated November 19, 2009;
File No. 333-163222)
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3.4
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Certificate of Amendment of Certificate of Incorporation
(filed as Exhibit 3.1 to the Companys Form 8-K, dated December 21, 2012)
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3.5
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Bylaws (filed as Exhibit 3.2 to the Companys Form SB-2,
dated April 1, 2005; File No. 333-123735)
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4.1
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Common Stock Specimen***
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4.2
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Form of Indenture**
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4.3
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Form of Warrant Agreement, including form of Warrant*
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4.4
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Form of Unit Agreement*
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4.5
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Form of Pledge Agreement*
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4.6
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Form of Rights Certificate*
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5.1
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Opinion of Pryor Cashman LLP**
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12.1
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Computation of Ratio of Earnings to Fixed Charges***
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23.1
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Consent of Independent Registered Public Accounting
Firm**
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23.2
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Consent of Pryor Cashman LLP (included in legal opinion
filed as Exhibit 5.1 to the Registration Statement)**
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24.1
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Powers of Attorney (included on signature page to the
Registration Statement filed on June 20, 2014)***
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____________________________
*
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To be filed, if applicable, by amendment or as an exhibit
to a report filed pursuant to Section 13(a) or 15(d) of the Securities
Exchange Act of 134, as amended, and incorporated herein by
reference.
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**
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Filed herewith.
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***
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Previously filed.
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3
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