Securities Registration: Employee Benefit Plan (s-8)
May 17 2023 - 5:16PM
Edgar (US Regulatory)
As
filed with the Securities and Exchange Commission on May 17, 2023.
Registration
No. 333-
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
S-8
REGISTRATION
STATEMENT
UNDER
THE
SECURITIES ACT OF 1933
Antelope
Enterprise Holdings Ltd.
(Exact
Name of Registrant as Specified in Its Charter)
British
Virgin Islands |
|
Not
Applicable |
(State
or Other Jurisdiction of |
|
(I.R.S.
Employer |
Incorporation
or Organization) |
|
Identification
No.) |
Room
1802, Block D, Zhonghai International Center,
Hi-Tech
Zone, Chengdu,
Sichuan
Province, PRC
Telephone:
+86 (28) 8532 4355
(Address,
Including Zip Code, of Principal Executive Offices)
Antelope
Enterprise Holdings Ltd.
2023
Equity Incentive Plan
(Full
Title of the Plan)
Puglisi
& Associates
850
Library Avenue, Suite 204
Newark,
Delaware 19711
+1
302-738-6680
(Name,
Address and Telephone Number, Including Area Code, of Agent for Service)
Copies
To:
Joan
Wu, Esq.
Hunter
Taubman Fischer & Li LLC
950
Third Avenue, 19th Floor
New
York, NY 10022
(212)
530-2210
Indicate
by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting
company or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,”
“smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.:
Large
accelerated filer |
☐ |
Accelerated
filer |
☐ |
Non-accelerated
filer |
☒ |
Smaller
reporting company |
☒ |
|
|
Emerging
growth company |
☐ |
If
an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying
with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. ☐
EXPLANATORY
NOTE
This
registration statement on Form S-8 (the “Registration Statement”) is being filed by Antelope Enterprise Holdings Ltd.
(the “Registrant”) in accordance with the requirements of Form S-8 under the Securities Act of 1933, as amended (the
“Securities Act”), in order to register 2,700,000 Class A ordinary shares, no par value per share (the “Class
A Ordinary Shares”), issuable pursuant to the 2023 Equity Incentive Plan (the “Plan”) adopted by the board
of directors (the “Board”) of the Registrant.
PART
I
INFORMATION
REQUIRED IN SECTION 10(a) PROSPECTUS
Item
1. |
Plan
Information* |
Item
2. |
Registrant
Information and Employee Plan Annual Information* |
*
Information required by Part I to be contained in the Section 10(a) prospectus is omitted from this Registration Statement in accordance
with Rule 428 under the Securities Act and the Note to Part I of Form S-8. The documents containing information specified in this Part
I will be separately provided to the participants covered by the Plan, as specified by Rule 428(b)(1) under the Securities Act.
PART
II
INFORMATION
REQUIRED IN THE REGISTRATION STATEMENT
Item
3. Incorporation of Certain Documents by Reference.
The
following documents previously filed or furnished by the Registrant with the SEC are incorporated herein by reference in this Registration
Statement:
|
(a) |
The
Company’s Annual Report on Form 20-F for its fiscal year ended December 31, 2022, filed with the SEC on May 1, 2023; |
|
|
|
|
(b) |
the
description of the Company’s Class A Ordinary Shares contained in the Company’s registration statements on Form 8-A,
filed with the SEC on November 11, 2010, and any amendment or report filed for the purpose of updating such description (File No.
001-34944); |
|
|
|
|
(c) |
All
other reports filed by the Company pursuant to Section 13(a) or 15(d) of the Exchange Act, since the end of the fiscal year covered
by its Annual Report referred to in (a) above (other than information deemed to have been “furnished” rather than “filed”
in accordance with the SEC’s rules); and |
|
|
|
|
(d) |
The
description of the Company’s Class A Ordinary Shares contained in the Company’s Annual Report on Form 20-F for its fiscal
year ended December 31, 2022, filed with the SEC on May 1, 2023. |
All
documents filed by the Company pursuant to Sections 13(a), 13(c), 14 and 15(d) of the Exchange Act subsequent to the date hereof, prior
to the filing of a post-effective amendment which indicates that all securities offered hereby have been sold or which deregisters all
securities then remaining unsold, shall be deemed to be incorporated by reference into this Registration Statement and to be a part hereof
from the date of filing of such documents; provided, however, that, unless expressly incorporated into this registration statement, documents
or information deemed to have been furnished and not filed in accordance with SEC rules shall not be deemed incorporated by reference
into this Registration Statement. Any statement contained herein or in a document, all or a portion of which is incorporated or deemed
to be incorporated by reference herein, shall be deemed to be modified or superseded for purposes of this Registration Statement to the
extent that a statement contained herein or in any other subsequently filed document which also is or is deemed to be incorporated by
reference herein modifies or supersedes such statement. Any such statement so modified or superseded shall not be deemed, except as so
modified or amended, to constitute a part of this Registration Statement.
Item
4. Description of Securities.
Not
applicable.
Item
5. Interests of Named Experts and Counsel.
Not
applicable.
Item
6. Indemnification of Directors and Officers.
British
Virgin Islands law does limit the extent to which a company’s memorandum and articles of association may provide for indemnification
of officers and directors. The Company’s Memorandum and Articles of Association provides for indemnification of its officers and
directors for any liability incurred in their capacities as such, except through their own fraud or willful default to the extent permitted
under BVI law. Indemnification is only available to a person who acted in good faith and in what that person believed to be in the Company’s
best interests. Insofar as indemnification for liabilities arising under the Securities Act may be permitted to directors, officers or
persons controlling the Company pursuant to the foregoing provisions, the Company has been informed that in the opinion of the Securities
and Exchange Commission such indemnification is against public policy as expressed in the Securities Act and is theretofore unenforceable.
Item
7. Exemption from Registration Claimed.
Not
applicable.
Item
8. Exhibits.
The
Exhibit Index immediately preceding the exhibits is incorporated herein by reference.
Item
9. Undertakings.
(a)
The undersigned registrant hereby undertakes:
(1)
To file, during any period in which offers or sales are being made, a post-effective amendment to this registration statement:
(i)
To include any prospectus required by Section 10(a)(3) of the Securities Act;
(ii)
To reflect in the prospectus any facts or events arising after the effective date of the registration statement (or the most recent post-effective
amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set forth in the registration
statement. Notwithstanding the foregoing, any increase or decrease in volume of securities offered (if the dollar value of securities
offered would not exceed that which was registered) and any deviation from the low or high end of the estimated maximum offering range
may be reflected in the form of a prospectus filed with the SEC pursuant to Rule 424(b) if, in the aggregate, the changes in volume and
price represent no more than a 20 percent change in the maximum aggregate offering price set forth in the “Calculation of Registration
Fee” table in the effective registration statement; and
(iii)
To include any material information with respect to the plan of distribution not previously disclosed in the registration statement or
any material change to such information in the registration statement;
provided,
however, that paragraphs (1)(i) and (1)(ii) do not apply if the information required to be included in the post-effective amendment
by those paragraphs is contained in periodic reports filed with or furnished to the SEC by the registrant pursuant to Section 13 or 15(d)
of the Exchange Act that are incorporated by reference in this registration statement.
(2)
That, for the purpose of determining any liability under the Securities Act, each such post-effective amendment shall be deemed to be
a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed
to be the initial bona fide offering thereof.
(3)
To remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the
termination of the offering.
(b)
The undersigned registrant hereby undertakes that, for purposes of determining any liability under the Securities Act, each filing of
the registrant’s annual report pursuant to Section 13(a) or Section 15(d) of the Exchange Act that is incorporated by reference
in the registration statement shall be deemed to be a new registration statement relating to the securities offered therein, and the
offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.
(c)
Insofar as indemnification for liabilities arising under the Securities Act may be permitted to directors, officers and controlling persons
of the registrant pursuant to the foregoing provisions, or otherwise, the registrant has been advised that in the opinion of the SEC
such indemnification is against public policy as expressed in the Securities Act and is, therefore, unenforceable. In the event that
a claim for indemnification against such liabilities (other than the payment by the registrant of expenses incurred or paid by a director,
officer or controlling person of the registrant in the successful defense of any action, suit or proceeding) is asserted by such director,
officer or controlling person in connection with the securities being registered, the registrant will, unless in the opinion of its counsel
the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification
by it is against public policy as expressed in the Securities Act and will be governed by the final adjudication of such issue.
EXHIBIT
INDEX
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-8 and has duly caused this Form S-8 Registration Statement to be signed on its behalf by the undersigned,
thereunto duly authorized, in Hong Kong, on May 17, 2023.
|
Antelope
Enterprise Holdings Ltd. |
|
|
|
By: |
/s/
Hen Man Edmund |
|
Name: |
Hen
Man Edmund |
|
Title:
|
Chief
Financial Officer |
POWER
OF ATTORNEY
Each
person whose signature appears below constitutes and appoints Hen Man Edmund as his or her true and lawful attorney-in-fact and agent,
with full power of substitution and re-substitution, for him or her and in his or her name, place, and stead, in any and all capacities,
to sign any and all amendments (including post-effective amendments, exhibits thereto and other documents in connection therewith) to
this Registration Statement, and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Commission,
granting unto said attorney-in-fact and agent full power and authority to do and perform each and every act and thing requisite and necessary
to be done in and about the premises, as fully to all intents and purposes as he or she might or could do in person, hereby ratifying
and confirming all that said attorney-in-fact and agent, or his substitute or substitutes, may lawfully do or cause to be done by virtue
hereof.
Pursuant
to the requirements of the Securities Act, this Registration Statement has been signed below by the following persons in the capacities
and on May 17, 2023.
Name |
|
Title |
|
|
|
/s/
Weilai (Will) Zhang |
|
Chief
Executive Officer and Director |
Weilai
(Will) Zhang |
|
(Principal
Executive Officer) |
|
|
|
/s/
Hen Man Edmund |
|
Chief
Financial Offer |
Hen
Man Edmund |
|
(Principal
Accounting Officer and Principal Financial Officer) |
|
|
|
/s/
Tingting Zhang |
|
Director |
Tingting
Zhang |
|
|
|
|
|
/s/
Song Chungen |
|
Independent
Director |
Song
Chungen |
|
|
|
|
|
/s/
Dian Zhang |
|
Independent
Director |
Dian
Zhang |
|
|
|
|
|
/s/
Qiguo Wang |
|
Director |
Qiguo
Wang |
|
|
|
|
|
/s/
Ishak Han |
|
Independent
Director |
Ishak
Han |
|
|
|
|
|
/s/
Huashu Yuan |
|
Independent
Director |
Huashu
Yuan |
|
|
SIGNATURE
OF AUTHORIZED REPRESENTATIVE IN THE UNITED STATES
Pursuant
to the requirements of the Securities Act, the undersigned, the duly authorized representative in the United States of the Registrant,
has signed this registration statement in Newark, Delaware on May 17, 2023.
|
Puglisi
& Associates |
|
|
|
By: |
/s/
Donald J. Puglisi |
|
|
Donald
J. Puglisi |
|
|
Managing
Director |
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