x None
Entity Type
0001442620
 
x Corporation
o Limited Partnership
o Limited Liability Company
o General Partnership
o Business Trust
o Other
Name of Issuer
 Recon Technology, Ltd
Jurisdiction of Incorporation/Organization
CAYMAN ISLANDS
 
Year of Incorporation/Organization
  x Over Five Years Ago
  o Within Last Five Years (Specify Year)  
  o Yet to Be Formed  



2. Principal Place of Business and Contact Information
Name of Issuer  
 Recon Technology, Ltd  
Street Address 1 Street Address 2
 ROOM 1902, BUILDING C,  KING LONG INTL MANSION, NO. 9 FULIN ROAD
City State/Province/Country ZIP/Postal Code Phone No. of Issuer
 BEIJING  CHINA  100107  +86 (10) 8494-5799 



3. Related Persons
Last Name First Name Middle Name
Yin Shenping
Street Address 1 Street Address 2
ROOM 1902, BUILDING C, KING LONG INTL MANSION, NO. 9 FULIN ROAD
City State/Province/Country ZIP/Postal Code
BEIJING CHINA 100107
Relationship: x Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last Name First Name Middle Name
Liu Jia
Street Address 1 Street Address 2
ROOM 1902, BUILDING C, KING LONG INTL MANSION, NO. 9 FULIN ROAD
City State/Province/Country ZIP/Postal Code
BEIJING CHINA 100107
Relationship: x Executive Officer o Director o Promoter
Clarification of Response (if Necessary)
 

Last Name First Name Middle Name
Chen Guangqiang
Street Address 1 Street Address 2
ROOM 1902, BUILDING C, KING LONG INTL MANSION, NO. 9 FULIN ROAD
City State/Province/Country ZIP/Postal Code
BEIJING CHINA 100107
Relationship: x Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last Name First Name Middle Name
Bi Yongquan
Street Address 1 Street Address 2
ROOM 1902, BUILDING C, KING LONG INTL MANSION, NO. 9 FULIN ROAD
City State/Province/Country ZIP/Postal Code
BEIJING CHINA 100107
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

 
Last Name First Name Middle Name
Zhao Shudong
Street Address 1 Street Address 2
ROOM 1902, BUILDING C, KING LONG INTL MANSION, NO. 9 FULIN ROAD
City State/Province/Country ZIP/Postal Code
BEIJING CHINA 100107
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last Name First Name Middle Name
Hu Jijun
Street Address 1 Street Address 2
ROOM 1902, BUILDING C, KING LONG INTL MANSION, NO. 9 FULIN ROAD
City State/Province/Country ZIP/Postal Code
BEIJING CHINA 100107
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last Name First Name Middle Name
Wong Nelson N.S.
Street Address 1 Street Address 2
ROOM 1902, BUILDING C, KING LONG INTL MANSION, NO. 9 FULIN ROAD
City State/Province/Country ZIP/Postal Code
BEIJING CHINA 100107
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last Name First Name Middle Name
Duan Yonggang
Street Address 1 Street Address 2
ROOM 1902, BUILDING C, KING LONG INTL MANSION, NO. 9 FULIN ROAD
City State/Province/Country ZIP/Postal Code
BEIJING CHINA 100107
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

 


4. Industry Group
o Agriculture   Health Care o Retailing
  Banking & Financial Services   o Biotechnology o Restaurants
  o Commercial Banking   o Health Insurance   Technology
  o Insurance   o Hospitals & Physicians   o Computers
  o Investing   o Pharmaceuticals   o Telecommunications
  o Investment Banking   o Other Health Care   o Other Technology
  o Pooled Investment Fund

        Travel
  o Other Banking & Financial Services o Manufacturing   o Airlines & Airports
  Real Estate   o Lodging & Conventions
  o Commercial   o Tourism & Travel Services
  o Construction   o Other Travel
  o REITS & Finance o Other
  o Residential  
  o Other Real Estate  
o Business Services  
  Energy  
  o Coal Mining  
  o Electric Utilities  
  o Energy Conservation  
  o Environmental Services  
  x Oil & Gas  
  o Other Energy  


5. Issuer Size
Revenue Range Aggregate Net Asset Value Range
o No Revenues o No Aggregate Net Asset Value
o $1 - $1,000,000 o $1 - $5,000,000
o $1,000,001 - $5,000,000 o $5,000,001 - $25,000,000
x $5,000,001 - $25,000,000 o $25,000,001 - $50,000,000
o $25,000,001 - $100,000,000 o $50,000,001 - $100,000,000
o Over $100,000,000 o Over $100,000,000
o Decline to Disclose o Decline to Disclose
o Not Applicable o Not Applicable


6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
o Rule 504(b)(1) (not (i), (ii) or (iii)) o Rule 505
o Rule 504 (b)(1)(i) x Rule 506(b)
o Rule 504 (b)(1)(ii) o Rule 506(c)
o Rule 504 (b)(1)(iii) o Securities Act Section 4(a)(5)
  o Investment Company Act Section 3(c)

7. Type of Filing
x New Notice Date of First Sale  2020-06-30 o First Sale Yet to Occur
o Amendment

8. Duration of Offering
Does the Issuer intend this offering to last more than one year? o Yes x No

9. Type(s) of Securities Offered (select all that apply)
o Pooled Investment Fund Interests o Equity
o Tenant-in-Common Securities o Debt
o Mineral Property Securities x Option, Warrant or Other Right to Acquire Another Security
x Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security o Other (describe)
   


10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? o Yes x No
 
Clarification of Response (if Necessary)  
  

11. Minimum Investment
Minimum investment accepted from any outside investor $ 0 USD

12. Sales Compensation
Recipient Recipient CRD Number o None
 Maxim Group LLC  281147
(Associated) Broker or Dealer x None (Associated) Broker or Dealer CRD Number x None
     
Street Address 1 Street Address 2
 405 LEXINGTON AVENUE  2ND FLOOR
City State/Province/Country ZIP/Postal Code
 NEW YORK  NEW YORK  10174
State(s) of Solicitation o All States x Foreign/Non-US
 CALIFORNIA
 ILLINOIS
 NEW YORK
 

 



13. Offering and Sales Amounts
Total Offering Amount $ 2100000 USD o Indefinite
Total Amount Sold $ 2100000 USD  
Total Remaining to be Sold $ 0 USD o Indefinite
 
Clarification of Response (if Necessary)
 On June 30, 2020, issuer received gross proceeds of $2,100,000 from issuance of 1,680,000 shares in registered direct offering, and concurrent private placement of amended and restated warrants for 911,112 shares and new warrants for 1,680,000 shares.


14. Investors
o Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering
 
  Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: 4


15. Sales Commissions & Finders’ Fees Expenses
Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
Sales Commissions $ 147000 USD o Estimate
Finders' Fees $ 0 USD o Estimate
 
Clarification of Response (if Necessary)
  


16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
  $ 0 USD o
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