SEC Form 4 · accession 0001185185-15-003393
SMARTHEAT INC. · HEAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Northtech Holdings Inc.
10% Owner
Period of report
Dec 28, 2015
Accepted (ET)
Dec 30, 2015 · 1:55 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001384135
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 28, 2015 | A | 1,500,000 | $0.40 | A | 3,600,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Remarks
On December 28, 2015, the Issuer entered into the Fourth Amendment to the Credit Facility dated July 27, 2012, as amended. The Issuer issued 1,500,000 restricted shares of the Issuer's common stock to the Reporting Person as consideration.