SEC Form 4 · accession 0001144204-16-100805
Hongli Clean Energy Technologies Corp. · CETC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jianhua Lv
Officer — President, CEO and Chairman · Director · 10% Owner
Period of report
May 20, 2011
Accepted (ET)
May 11, 2016 · 3:21 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001099290
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | May 20, 2011 | P | 604,738 | $6.00 | A | 604,738 | D | |
| Common Stock | May 20, 2011 | P | 649,339 | $6.00 | A | 1,254,077 | D | |
| Common StockF1 | holding | — | — | — | 6,694,091 | I | By Honour Express Limited |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares are held directly by Honour Express Limited ("Honour Express"). Honour Express Limited, a British Virgin Islands international business company ("Honour Express"). On October 7, 2014, Mr. Lv exercised his option pursuant to a certain Incentive Option Agreement to acquire 100% of the outstanding shares of Honour Express, which directly owns 6,694,091 shares of the Issuer's common stock, and became the sole shareholder of Honour Express. In such capacity, he is deemed to have voting and dispositive power over the shares held directly by Honour Express.