Statement of Changes in Beneficial Ownership (4)
01 September 2020 - 8:08PM
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
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Han Jie |
2. Issuer Name and Ticker or Trading Symbol
China XD Plastics Co Ltd
[
CXDC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer |
(Last)
(First)
(Middle)
NO 9 DALIAN N RD, HAPING RD CEN IND PK, HARBIN DEVELOPMENT ZONE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/28/2020 |
(Street)
HEILONGJIANG PROVINCE, F4 150060
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, par value $0.0001 | 8/28/2020 | | A | | 1800000 | A | (1) | 28904266 | D | |
Common Stock, par value $0.0001 | | | | | | | | 5960788 | I | Through 100% ownership of XD. Engineering |
Series B Preferred Shares, par value $0.0001 | | | | | | | | 1000000 | I | Through 100% ownership of XD. Engineering |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 granted to the reporting person by the Issuer pursuant to the Issuer's 2020 Stock Option / Stock Issuance Plan, in consideration for past services rendered to the Issuer (or any subsidiary of the Issuer, as the case may be). The shares shall vest immediately upon the share grant on August 28, 2020, the date of share grant. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Han Jie NO 9 DALIAN N RD, HAPING RD CEN IND PK HARBIN DEVELOPMENT ZONE HEILONGJIANG PROVINCE, F4 150060 | X | X | Chief Executive Officer |
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Signatures
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/s/ Jie Han | | 9/1/2020 |
**Signature of Reporting Person | Date |
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