Amended Report of Proposed Sale of Securities (144/a)
December 04 2015 - 3:40PM
Edgar (US Regulatory)
UNITED
STATES |
OMB
APPROVAL |
SECURITIES
AND EXCHANGE COMMISSION |
OMB Number: |
3235-0101 |
Washington,
D.C. 20549 |
Expires: |
May
31, 2017 |
|
Estimated
average burden |
Amendment
No. 1 to
FORM 144 |
hours
per response |
1.00 |
NOTICE
OF PROPOSED SALE OF SECURITIES |
SEC
USE ONLY |
PURSUANT
TO RULE 144 UNDER THE SECURITIES ACT OF 1933 |
DOCUMENT
SEQUENCE NO. |
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CUSIP
NUMBER |
ATTENTION:
Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute
sale or executing a sale directly with a market maker.
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1 (a) NAME
OF ISSUER (Please type or print) |
(b)
IRS IDENT. NO. |
(c)
S.E.C. FILE NO |
WORK
LOCATION |
Cleantech
Solutions International, Inc., |
90-0648920 |
000-34591 |
|
1
(d) ADDRESS OF ISSUER |
STREET |
CITY |
STATE |
ZIP CODE |
(e)
TELEPHONE NO |
No. 9 Yanyu
Middle Rd. |
Qianzhou Village, |
Jiangsu, China |
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214181 |
86-51083397559 |
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2
(a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD |
|
(b) RELATIONSHIP TO
ISSUER |
(c) ADDRESS STREET |
CITY |
STATE |
ZIP
CODE |
WASSERMAN
ADAM C |
|
CFO |
1643 Royal
Grove Way |
Weston |
FL |
33327 |
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INSTRUCTION: The
person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.
3
(a) |
(b) |
SEC
USE ONLY |
(c) |
(d) |
(e) |
(f) |
(g) |
Title
of the |
|
|
Number
of Shares |
Aggregate |
Number
of Shares |
Approximate |
Name
of Each |
Class
of |
Name
and Address of Each Broker Through Whom the |
Broker-Dealer |
or
Other Units |
Market |
or
Other Units |
Date of Sale |
Securities |
Securities
To Be Sold |
Securities
are to be Offered or Each Market Maker |
File Number |
To
Be Sold |
Value |
Outstanding |
(See instr. 3(f)) |
Exchange |
|
who
is Acquiring the Securities |
|
(See
instr. 3(c)) |
(See
instr. 3(d)) |
(See
instr. 3(e)) |
(MO.
DAY YR.) |
(See
instr. 3(g)) |
Common |
View
Trade
7280
W. Palmetto Park Rd. Ste. 310
Boca
Raton, FL 33433
|
|
39,000 |
58,500 |
3,943,986 |
12/15/15 |
NASDAQ |
INSTRUCTIONS: |
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1. |
(a) |
Name of issuer |
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3. |
(a) |
Title of the class of securities to be sold |
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(b) |
Issuer’s I.R.S. Identification Number |
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|
(b) |
Name and address of each broker through whom the securities are
intended to be sold |
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(c) |
Issuer’s S.E.C. file number, if any |
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(c) |
Number of shares or other units to be sold (if debt securities,
give the aggregate face amount) |
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(d) |
Issuer’s address, including zip code |
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(d) |
Aggregate market value of the securities to be sold as of a specified
date within 10 days prior to filing of this notice |
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(e) |
Issuer’s telephone number, including area code |
|
|
(e) |
Number of shares or other units of the class outstanding, or if
debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer |
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(f) |
Approximate date on which the securities are to be sold |
2. |
(a) |
Name of person for whose account the securities are to be sold |
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(g) |
Name of each securities exchange, if any, on which the securities
are intended to be sold |
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(b) |
Such person’s relationship to the issuer (e.g., officer,
director, 10% stockholder, or member of immediate family of any of the foregoing) |
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(c) |
Such person’s address, including zip code |
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Potential persons who
are to respond to the collection of information contained in this form are not required to respond unless the form displays
a currently valid OMB control number. |
SEC 1147 (08-07) |
TABLE
I — SECURITIES TO BE SOLD
Furnish
the following information with respect to the acquisition of the securities to be sold
and
with respect to the payment of all or any part of the purchase price or other consideration therefor:
Title
of
the
Class |
Date
you
Acquired |
Nature
of Acquisition Transaction |
Name
of Person from Whom Acquired
(If
gift, also give date donor acquired ) |
Amount
of
Securities
Acquired |
Date
of
Payment |
Nature
of Payment |
Common |
1/8/15 |
Compensation |
Issuer |
18,000 |
1/8/15 |
Compensation |
Common |
3/19/12 |
Compensation |
Issuer |
186 |
3/19/12 |
Compensation |
Common |
5/23/14 |
Compensation |
Issuer |
15,000 |
5/23/14 |
Compensation |
Common |
8/1/13 |
Compensation |
Issuer |
8,000 |
8/1/13 |
Compensation |
INSTRUCTIONS: |
|
If the securities were
purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto
the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made
in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment
paid. |
TABLE
II — SECURITIES SOLD DURING THE PAST 3 MONTHS
Furnish
the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the
securities are to be sold.
Name
and Address of Seller |
Title
of Securities Sold |
Date
of Sale |
Amount
of
Securities
Sold |
Gross
Proceeds |
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EXPLANATION
OF RESPONSES:
REMARKS:
INSTRUCTIONS: |
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ATTENTION: |
See the definition of “person”
in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to
be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales
by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person
filing this notice. |
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The person for whose account the
securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any
material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold
which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to
satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction
given, that person makes such representation as of the plan adoption or instruction date. |
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December
2, 2015 |
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/s/
Adam Wasserman |
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DATE OF NOTICE |
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(SIGNATURE) |
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December
7, 2015 |
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DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION,
IF RELYING ON RULE 10B5-1 |
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The
notice shall be signed by the person for whose account the securities are to be sold. At least one
copy
of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures. |
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See
18 U.S.C. 1001) |
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