SEC Form 4 · accession 0001140361-16-082582
CD INTERNATIONAL ENTERPRISES, INC. · CDII
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Yuejian Wang
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Sep 12, 2016
Accepted (ET)
Oct 12, 2016 · 3:03 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001088787
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.0001 par valueF1,F2 | Sep 12, 2016 | A | 150,000,000 | $0.001 | A | 215,003,236 | D | |
| Common Stock, $0.0001 par valueF3,F2 | Oct 5, 2016 | A | 700,000,000 | $0.0002 | A | 915,003,236 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On September 12, 2016, the Issuer issued 150,000,000 shares of restricted common stock to the reporting person as compensation pursuant to Employment Agreement instead of cash payment.
- F2Amount does not include 20,000 shares of the Issuer's common stock held by Dragon Fund Management LLC ("Dragon Fund"), an entity in which the reporting person owns 1% of the membership interests and holds 50% of the voting control. The reporting person disclaims beneficial ownership of the Issuer's securities owned by Dragon Fund except to the extent of his pecuniary interest in Dragon Fund and this filing should not be construed as an admission that the reporting person is the beneficial owner of these securities.
- F3On October 5, 2016, the Issuer issued 700,000,000 shares of restricted common stock to the reporting person as compensation pursuant to Employment Agreement instead of cash payment.