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 October 2018

 

Commission file number: 001-34958

 

DUNXIN FINANCIAL HOLDINGS LIMITED

 

6/F., Block 1, Hubei Daily Cultural and Creative Industry Park,

No. 181 Donghu Road, Wuchang District,

Wuhan City, Hubei Province, 430000

People’s Republic of China

(Address of Principal Executive Offices)

 

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  ¨  

 

Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulations S-T Rule 101(b)(1): ¨  

 

Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulations S-T Rule 101(b)(7): ¨  

 

 
 
 
 

  INFORMATION CONTAINED IN THIS FORM 6-K REPORT

 

Grant of Restricted Stock Units Awards

 

On April 12, 2018, the Board of Directors (the “Board”) of Dunxin Financial Holdings Limited (the “Company”) approved the grant of restricted stock units (“RSU”) under the Company’s 2010 Equity Incentive Plan to the following independent directors and executive officers in the amounts and the vesting schedule indicated below:

 

Name

Title

Number of RSU

Vesting Schedule

H. David Sherman

Independent Director

240,000

120,000 –08/01/2018

60,000 – 09/30/2018

60,000 - 12/31/2018

Michael Viotto

Independent Director

240,000

120,000 –08/01/2018

60,000 – 09/30/2018

60,000 - 12/31/2018

Duogunag Bei

Independent Director

240,000

120,000 –08/01/2018

60,000 – 09/30/2018

60,000 - 12/31/2018

Chee Jiong Ng

Chief Executive Officer

142,148

71,074 –08/01/2018

35,537 – 09/30/2018

35,537 - 12/31/2018

 

Each RSU represents the right to receive one ordinary shares of the Company upon vesting.

 

The Board ratified and granted of the RSU on August 1, 2018. As of the date of this Form 6-K report, 646,611 RSU have vested and the underlying 646,611 ordinary shares have been issued. The form of Restricted Stock Unit Award Agreement is attached as Exhibit 10.1 and is incorporated by reference to this Form 6-K.

 

The securities referenced above were offered and sold pursuant to an exemption from registration under Section 4(a)(2) of the Securities Act of 1933 (“Securities Act”) , as amended, and/or Regulation S promulgated under the Securities Act.

 

EXHIBIT INDEX

 

Exhibit No.

 

Description of Document

 

 

 

10.1

 

Form of Restricted Stock Unit Award Agreement Under the 2010 Equity Incentive Plan.

 

 

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SIGNATURE

 

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.

 

 

Dunxin Financial Holdings Limited

 

 

Date: October 23, 2018

By:

/s/ Ricky Qizhi Wei

 

Name:

Mr Ricky Qizhi Wei

 

Title:

Chief Executive Officer

 

 

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