Current Report Filing (8-k)
29 July 2020 - 1:31AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or Section 15(d) of
the Securities Exchange Act of 1934
Date of Report (Date of Earliest Event Reported):
July 28, 2020
TD Holdings, Inc.
(Exact name of registrant as specified in its
charter)
Delaware
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001-36055
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45-4077653
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(State or other jurisdiction
of incorporation)
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(Commission File Number)
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(IRS Employer
Identification No.)
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Room 104, No. 33 Section D,
No. 6 Middle Xierqi Road,
Haidian District, Beijing, China
(Address of Principal Executive Offices)
+86 (010) 59441080
(Issuer’s telephone number)
(Former name or former address, if changed since
last report)
Check the appropriate box below if the Form
8-K filing is intended to simultaneously satisfy the filing obligation to the registrant under any of the following provisions:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Indicate by check mark whether the registrant
is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2
of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
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 13(a) of the Exchange Act. ☐
Securities registered pursuant to Section 12(b)
of the Act:
Title of each class
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Trading Symbol(s)
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Name of each exchange on which registered
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Common Stock, par value $0.001
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GLG
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Nasdaq Capital Market
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Item 5.02
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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
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Resignation of Yang An
On July 28, 2020, Ms. Yang
An resigned from her position as Chief Financial Officer (“CFO”) of TD Holdings, Inc. (the “Company”)
effective immediately. Ms. An’s resignation is not as a result of any disagreement with the Company relating to its operations,
policies or practices.
Appointment of Wei Sun
Effective July 28, 2020,
the Company’s board of directors (the “Board”) appointed Ms. Wei Sun as CFO of the Company to fill the
vacancy created by the resignation of Ms. An.
The biographical information
of Ms. Sun is set forth below.
Ms. Wei Sun has served
as a director on the Company’s Board since May 14, 2020. She has been serving as the executive director of China National
Culture Group Limited in Hong Kong since 2014. From 2011 to 2014, Ms. Sun served as the financial accounting manager of China Highways
Holdings Limited in Hong Kong. She obtained her Bachelor’s Degree in English Education from Shanghai International Studies
University and her Master’s Degree in Finance from Clark University in 2009.
Ms. Sun does not have a
family relationship with any director or executive officer of the Company and has not been involved in any transaction with the
Company during the past two years that would require disclosure under Item 404(a) of Regulation S-K.
Ms. Sun also entered into
an executive employment agreement (the “Employment Agreement”) with the Company, which sets her annual compensation
at $50,000 and establishes other terms and conditions governing her service to the Company. The Employment Agreement is qualified
in its entirety by reference to the complete text of the agreement, which is filed hereto as Exhibits 10.1.
Item 9.01
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Financial Statement and Exhibits
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(d) Exhibits
SIGNATURES
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
hereunto duly authorized.
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TD HOLDINGS, INC.
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Date: July 28, 2020
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By:
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/s/ Renmei Ouyang
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Name:
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Renmei Ouyang
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Title:
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Chief Executive Officer
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