SEC Form 4 · accession 0001185185-18-001137
SMARTHEAT INC. · HEAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jimin Zhang
10% Owner
Period of report
Jun 14, 2018
Accepted (ET)
Jun 18, 2018 · 11:55 am EDT
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, par value $0.001F1 | Jun 14, 2018 | A | 71,283,000 | $0.065 | A | 76,206,445 | I | By Corporation |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On June 14, 2018, the Issuer entered into the Sixth Amendment to the Credit Facility dated July 27, 2012, as amended (the "Credit Facility"). The Issuer issued restricted shares of the Issuer's common stock to the Reporting Person in payment of all outstanding interest and principal due under the Credit Facility as of June 14, 2018. Mr Zhang directly owns 923,435 shares of aggregate amount of 76,206,445 held directly and indirectly.