Report of Foreign Issuer (6-k)
September 30 2016 - 4:16PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 6-K
REPORT OF FOREIGN PRIVATE ISSUER
PURSUANT TO RULE 13a-16 OR 15d-16
UNDER THE SECURITIES EXCHANGE ACT OF 1934
For the month of September 2016
Commission File Number 001-37678
SPI Energy Co., Ltd.
(Exact name of registrant as specified in its charter)
7F/A Block, 1st Building, Jinqi Plaza
No. 2145 Jinshajiang Road, Putuo District
Shanghai, P.R. China
(Address of principal executive office)
Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F.
Form 20-F
x
Form 40-F
o
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(1):
o
Note
: Regulation S-T Rule 101(b)(1) only permits the submission in paper of a Form 6-K if submitted solely to provide an attached annual report to security holders.
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(7):
o
Note:
Regulation S-T Rule 101(b)(7) only permits the submission in paper of a Form 6-K if submitted to furnish a report or other document that the registrant foreign private issuer must furnish and make public under the laws of the jurisdiction in which the registrant is incorporated, domiciled or legally organized (the registrants home country), or under the rules of the home country exchange on which the registrants securities are traded, as long as the report or other document is not a press release, is not required to be and has not been distributed to the registrants security holders, and, if discussing a material event, has already been the subject of a Form 6-K submission or other Commission filing on EDGAR.
SPI Energy Co., Ltd. (SPI Energy or the Company) (Nasdaq: SPI) announced that it granted options to purchase an aggregate of 387,833,000 ordinary shares of the Company at an exercise price of US$0.259 per ordinary share (the Options) to certain investors in the approximately US$100 million private placement by the Company as announced on September 28, 2016 (the Private Placement). The Options are exercisable at any time on or prior to the second anniversary of the closing of the Private Placement.
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EXHIBIT INDEX
Exhibit Number
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Description
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99.1
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Press Release
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
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SPI Energy Co., Ltd.
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Date: September 30, 2016
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By:
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/s/ Tairan Guo
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Name: Tairan Guo
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Title: Interim Chief Financial Officer
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