SEC Form 3 · accession 0001185185-19-000154
SMARTHEAT INC. · HEAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mao Zhang
Director · 10% Owner
Period of report
Feb 4, 2019
Accepted (ET)
Feb 5, 2019 · 6:11 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, par value $.001 per shareF1,F3 | holding | — | — | — | 32,441,543 | I | Voting Proxy | |
| Common Stock, par value $.001 per shareF2,F4 | holding | — | — | — | 83,836,959 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Proxy terminates upon issuance of 80,625,099 shares to Mr. Zhang by the company.
- F2Shares will be issued after increase of authorized shares of the company to 500,000,000.
- F3Includes 1,230,427 shares held by Mr. Zhang's spouse.
- F4Includes 3,211,860 shares held by Mr. Zhang's spouse.