Report of Proposed Sale of Securities (144)
August 28 2017 - 6:06AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
144
NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES
ACT OF 1933
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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OMB
APPROVAL
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OMB
Number: 3235-0101
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Expires:
June 30, 2020
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Estimated
average burden
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hours
per response 1.00
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SEC
USE ONLY
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DOCUMENT SEQUENCE NO.
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CUSIP NUMBER
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WORK LOCATION
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1
(a)
NAME OF ISSUER
(Please type or print)
Tantech Holdings Ltd.
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(b)
IRS IDENT. NO.
N/A
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(c)
S.E.C. FILE NO.
001-36885
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1 (
d
) ADDRESS OF ISSUER STREET CITY STATE ZIP CODE
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(e)
TELEPHONE NO.
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No. 10 Chen Shan Road, Shuige Industrial Zone Lishui City Zhejiang Province 323600
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AREA CODE
86-578
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NUMBER
226-2305
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2
(a)
NAME
OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD
Dong, Qingsong
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(b)
RELATIONSHIP
TO ISSUER
Treasurer
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(c)
ADDRESS STREET CITY STATE ZIP CODE
No.888 Tianning St. Liandu District, Lishui, Zhejiang, China, 323000
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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)
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(b)
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SEC USE ONLY
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(c)
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(d)
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(e)
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(f)
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(g)
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Title of the
Class of
Securities
To Be Sold
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Name and Address of Each
Broker Through Whom the
Securities are to be Offered
or Each Market Maker
who is Acquiring the Securities
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Broker-Dealer
File Number
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Number of Shares
or Other Units
To Be Sold
(See instr. 3(c))
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Aggregate
Market
Value
(See instr. 3(d))
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Number of Shares
or Other Units
Outstanding
(See instr. 3(e))
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Approximate
Date of Sale
(See instr. 3(f))
(MO. DAY YR.)
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Name of Each
Securities
Exchange
(See instr. 3(g))
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Common Shares
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Interactive Brokers LLC
One Pickwick Plaza, Greenwich, CT 06830
USA
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200,000
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$600,000
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26,811,935
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09.04.2017
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Nasdaq
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INSTRUCTIONS:
1.
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(a)
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Name of issuer
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3.
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(a)
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Title of the
class of securities to be sold
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(b)
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Issuer’s I.R.S. Identification
Number
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(b)
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Name and address of each
broker through whom the securities are intended to be sold
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(c)
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Issuer’s S.E.C. file
number, if any
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(c)
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Number of shares or other
units to be sold (if debt securities, give the aggregate face amount)
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(d)
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Issuer’s address,
including zip code
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(d)
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Aggregate market value of
the securities to be sold as of a specified date within 10 days prior to the filing of this notice
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(e)
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Issuer’s telephone
number, including area code
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(e)
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Number of shares or other
units of outstanding, as shown by the most the class outstanding, or if debt securities the face amount thereof recent report
or statement published by the issuer
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(f)
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Approximate date on which
the securities are to be sold
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(g)
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Name of each securities
exchange, if any, on which the securities are intended to be sold
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2.
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(a)
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Name of person for whose
account the securities are to be sold
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(b)
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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)
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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.
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SEC 1147 (08-07)
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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
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Date you Acquired
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Nature of Acquisition Transaction
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Name of Person from Whom Acquired
(If gift, also give date donor acquired)
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Amount of Securities Acquired
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Date of Payment
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Nature of Payment
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Common Shares
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Dec.09.2015
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Employee Bonus
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Tanbsok Group Ltd.
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200,000
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N/A
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N/A
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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
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Title of Securities Sold
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Date of Sale
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Amount of
Securities Sold
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Gross Proceeds
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REMARKS:
INSTRUCTIONS:
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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ATTENTION:
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
each 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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2017/08/28
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/s/ Dong,
Qingsong
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DATE OF NOTICE
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(SIGNATURE)
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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.
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ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)
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