SEC Form 3 · accession 0001354488-15-003476
Sincerity Applied Materials Holdings Corp. · SINC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Hendrik Kasteel
Director
Period of report
Jul 22, 2015
Accepted (ET)
Jul 29, 2015 · 3:34 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001532595
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 198,904 | D | ||
| Common StockF1 | holding | — | — | — | 133,246 | I | By Ennebaf BV |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantF2 | $0.75 | holding | — | — | — | Dec 6, 2013 | Dec 5, 2016 | Common Stock | 100,000 | — | D |
| Restricted Stock UnitsF3 | $0.00 | holding | — | — | — | Jul 15, 2016 | Jul 15, 2016 | Common Stock | 33,333 | — | D |
Explanation of responses
- F1Hendrik Kasteel (the ?Reporting Person?) is the Chief Executive Officer of Ennebaf B.V. and has sole voting and dispositive control over the shares owned thereby.
- F2On December 6, 2013, the Issuer issued a warrant to purchase 100,000 shares of common stock, par value $0.001, of the Issuer (the ?Common Stock?) to the Reporting Person in connection with the Reporting Person?s investment in a private placement offering conducted by the Issuer.
- F3On July 15, 2015, the Issuer entered into a Restricted Stock Unit Agreement pursuant to the Issuer?s 2013 Equity Incentive Plan with the Reporting Person under which the Reporting Person was awarded 33,333 restricted stock units (the ?Units?). Each Unit represents the right to receive one share of Common Stock, of the Issuer upon vesting. The Units will become fully vested on July 16, 2016.