Statement of Changes in Beneficial Ownership (4)
May 29 2020 - 4:08PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
XD Engineering Plastics Co Ltd |
2. Issuer Name and Ticker or Trading Symbol
China XD Plastics Co Ltd
[
CXDC
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
PO BOX 957, OFFSHORE INCORPORATIONS CTR, ROAD TOWN |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/9/2019 |
(Street)
TORTOLA, D8 00000
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock, par value $0.0001 | 9/9/2019 | | J | | 18976733 | D | (1) | 5405865 | D | |
Common Stock, par value $0.0001 | 12/11/2019 | | P | | 554923 (2) | A | $2.049 | 5960788 | D | |
Series B Preferred Shares, par value $0.0001 | | | | | | | | 1000000 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The shares were transferred to Mr. Jie Han, such that Mr. Jie Han beneficially owned such amount of shares directly. XD. Engineering Plastics Co Ltd is wholly owned by Mr. Jie Han. |
(2) | The amount reported in Column 4 is an aggregate amount. The shares were purchased in multiple transactions at the price of $2.049. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request full information regarding the number of shares purchased at each transactions. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
XD Engineering Plastics Co Ltd PO BOX 957, OFFSHORE INCORPORATIONS CTR ROAD TOWN TORTOLA, D8 00000 |
| X |
|
|
Signatures
|
/s/ Jie Han, on behalf of XD. Engineering Plastics Co Ltd | | 5/29/2020 |
**Signature of Reporting Person | Date |
China XD Plastics (NASDAQ:CXDC)
Historical Stock Chart
From Mar 2024 to Apr 2024
China XD Plastics (NASDAQ:CXDC)
Historical Stock Chart
From Apr 2023 to Apr 2024