美國
證券交易委員會
華盛頓特區 20549
13D日程表
根據1934年證券交易法
SPI能源 有限公司。
(發行人名稱)
普通股,面值$0.000001
(證券類別)
78470H109(1)
(CUSIP編號)
雲石 王
中海國際中心E座21層
教子大街333號 高科技園 工業開發區
中國四川省成都
電話:+86-13980988866
(收到通知和通信的人的姓名,地址和電話號碼)
2017年7月6日
(需要提交本聲明的事件的日期)
如果申報 人先前已根據13G表格提交了一份報告,以報告是13D表格的主題,則是因爲根據§ 240.13d-1(e), 240.13d-1(f)或。240.13d-1(g) 請勾選下面的框。 ☐
注意:提交紙質格式的日程安排應包括一份簽署的原件和五份副本,包括所有附展。請參閱§ 240.13d-7(b) 請參閱其他需要發送副本的相關方。
* | 該封面的其餘部分應該由報告人填寫,在本表格中針對相關證券類別的初始申報以及包含會改變先前封面中提供的披露信息的任何後續修正。 |
本封面其餘部分所需的信息 不應視爲根據1934年證券交易法(「法案」)第18條目的「已申報」,也不應受該法案該部分的責任,但應遵守該法案的所有其他規定 (但請參閱註釋)。
(1) | 該CUSIP編號適用於發行人的美國存托股份(「ADSs」),每股代表發行人的十股普通股。 |
13D安排
CUSIP編號78470H109 |
1 | 報告人姓名 報告人的納稅人識別號碼(僅限實體)
淺坤盛世投資有限公司 | |||||
2 | 如果屬於集體中的成員,請勾選適當的框(參見說明) (a) ☐ (b) ☒
| |||||
3 | SEC僅限使用
| |||||
4 | 所有基金類型的來源(請參閱說明)
未知 | |||||
5 | 如果根據2(d)或2(e)需要披露法律訴訟,請勾選複選框☐
| |||||
6 | 公民身份或組織地點
英屬維京群島 | |||||
股數 股份 有益擁有 由……擁有 每個 報表 人員。 和
|
7 | associated capital
0 | ||||
8 | 共同表決權
8,000萬股普通股 | |||||
9 | 獨立決策權
0 | |||||
10 | 共同決策權
八千萬股普通股份1 | |||||
11 |
每個報告人受益擁有的聚合數量
八千萬股普通股份1 | |||||
12 | 如行(11)中的合計金額不包括某些股份(請參閱說明),請在此方框中打勾 ☐
| |||||
13 | 佔本類別數量的百分比,由行(11)的金額表示
11.1%2 | |||||
14 | 報告人類型(參見說明)
CO |
1. | 由錢坤繁榮時代投資有限公司(「錢坤」)持有的8,000萬股普通股組成。見第5項。錢坤是由雲石王完全擁有的英屬維爾京群島公司。 雲石王是錢坤的唯一董事。 錢坤的業務地址位於英屬維爾京群島託托拉島派瑞利高速公路海濱屋(郵政信箱116號)。 |
2. | 基於719,065,172股普通股計算的百分比,包括:(i) 2015年12月31日披露在發行人提交給證券交易委員會的20-F/A年度報告中的639,065,172股普通股和(ii) 80,000,000股普通股(見上述注1)。 |
13D安排
CUSIP編號78470H109 |
1 | 報告人姓名 報告人的納稅人識別號碼(僅限實體)
王雲石 | |||||
2 | 如果屬於集體中的成員,請勾選適當的框(參見說明) (a) ☐ (b) ☒
| |||||
3 | SEC僅限使用
| |||||
4 | 所有基金類型的來源(請參閱說明)
OO | |||||
5 | 如根據2(d)或2(e)項需要披露法律程序,請勾選該框☐
| |||||
6 | 公民身份或組織地點
中華人民共和國。 | |||||
股數 股份 有益擁有 由……擁有 每個 報表 人員。 和
|
7 | associated capital
| ||||
8 | 共同表決權
8000萬份普通股份1 | |||||
9 | 獨立決策權
| |||||
10 | 共同決策權
8000萬股普通股份1 | |||||
11 |
每個報告人受益擁有的聚合數量
8000萬股普通股份 1 | |||||
12 | 勾選方框表示 第11行的合計金額不包括某些股份(請參閱說明) ☐
| |||||
13 | 佔本類股的百分比,表示第11行的金額
11.1%2 | |||||
14 | 報告人類型(參見說明)
所在 |
1. | 由錢坤持有的8000萬普通股份組成。請參閱第5項。錢坤是一家完全由王雲石擁有的英屬維爾京群島公司。王雲石是錢坤的唯一董事。錢坤的營業地址位於英屬維爾京群島托爾托拉島路敦黑本公路海星之屋(郵政信箱116號)。 |
2. | 基於719,065,172股普通股計算的百分比,包括以下兩部分:(i)作爲2015年12月31日披露在發行人2017年1月26日向證券交易委員會提交的20-F/A年度報告中的普通股股本639,065,172股;(ii)80,000,000股普通股(見上述註釋1)。 |
項目1。 | 安科瑞治療公司(Oncternal Therapeutics, Inc.)和證券。 |
本13D表格中的聲明(本「聲明」)與SPI能源有限公司(以下簡稱「發行人」)的每股面值爲$0.000001的普通股(「普通股」)有關。發行人的主要行政辦公室位於中國香港特別行政區灣仔港灣道26號華潤大廈27樓2703室。
項目2。 | 身份和背景。 |
(a) - (c) 此聲明由以下每位人士(每位稱爲「提交人」和合稱爲「提交人」)提交。
(i) 千坤亨通投資有限公司(「千坤」),一家註冊在英屬維爾京群島的公司;和
(ii) 王雲石,中華人民共和國公民。
千鯤是由雲石王全資擁有的公司。
錢錕的業務地址是British Virgin Islands的Tortola島上的Sea Meadow House, Blackburne Highway, (P.O. Box 116), Road Town。
王雲石的業務地址位於中國四川省成都市交子大道333號中海國際中心E塔21樓, 高科技園 中國四川省成都市工業開發區人民共和國。
錢坤的主要業務是投資。
雲石王的主要業務是商人。
關於錢坤,雲石王是該報告人唯一的董事,沒有其他執行官和董事,或者該報告人其他類似職位的人。
(d), (e) 過去五年內,報告人中沒有人在刑事訴訟中被判有罪(不包括交通違規或類似輕罪),也沒有參與司法或行政機構的民事訴訟,因此未受到或受到裁定、判決或終審令禁止未來違反、禁止或命令涉及聯邦或州證券法的活動,或就此類法律的違規作出任何裁定。
(f) The citizenship of Yunshi Wang is the People’s Republic of China.
Item 3. | Source and Amount of Funds or Other Considerations. |
Qian Kun and the Issuer entered into a purchase agreement (the “Purchase Agreement”) dated as of July 6, 2017. Pursuant to the Purchase Agreement, Qian Kun agreed to subscribe for and purchase from the Issuer, for an aggregate purchase price of $5,760,000, a total of 80,000,000 shares of Ordinary Share (the “Sale Shares”). The share issuance is subject to customary closing conditions. The foregoing description of the terms of the Purchase Agreement is qualified in its entirety by reference to its full text, a copy of which is included as Exhibit 99.1 of this Statement and is incorporated herein by reference. The closing (the “Closing”) of the transactions contemplated under the Purchase Agreement occurred on July 12, 2017.
The purchase of the Sale Shares was funded from the working capital of the Reporting Persons. No borrowed funds were used to purchase such shares of Ordinary Share.
Item 4. | Purpose of Transaction. |
The information set forth in Items 3, 5 and 6 of this Statement is hereby incorporated by reference in this Item 4.
The Reporting Persons will purchase the Sale Shares from the Issuer for investment purposes. The Reporting Persons intend to review their equity interest in the Issuer on a regular basis and, as a result thereof, may at any time or from time to time determine, either alone or as part of a group, (a) to acquire additional securities of the Issuer, through open market purchases, privately negotiated transactions or otherwise, (b) to dispose of all or a portion of the securities of the Issuer owned by them in the open market, in privately negotiated transactions or otherwise, or (c) to take any other available course of action, which could involve one or more of the types of transactions or have one or more of the results described in the next paragraph of this Item 4. Any such acquisition or disposition or other transaction would be made in compliance with all applicable laws and regulations. In reaching any decision as to their course of action (as well as to the specific elements thereof), the Reporting Persons currently expect that they would take into consideration a variety of factors, including, but not limited to, the following: current and anticipated future trading prices of the securities of the Issuer; the financial condition, results of operations and prospects of the Issuer; general economic conditions; and money and stock market conditions, including the market price of the securities of the Issuer.
Other than as set forth in this Statement, the Reporting Persons have no present plans or proposals which relate to or would result in:
(a) An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries;
(b) A sale or transfer of a material amount of assets of the Issuer or of any of its subsidiaries;
(c) Any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board;
(d) Any material change in the present capitalization or dividend policy of the Issuer;
(e) Any other material change in the Issuer’s business or corporate structure;
(f) Changes in the Issuer’s charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person;
(g) A class of securities of the Issuer being delisted from a national securities exchange or ceasing to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association;
(h) A class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or
(i) Any action similar to any of those enumerated above.
Item 5. | Interest in Securities of the Issuer. |
(a) and (b). The following disclosure assumes that there were 719,065,172 shares of Ordinary Share outstanding and issuable as of the Closing, including (1) 639,065,172 shares of Ordinary Share outstanding as of December 31, 2015 as disclosed in the Issuer’s annual report on Form 20-F/A filed with the Securities Exchange and Commission on January 26, 2017, and (2) 80,000,000 shares of Ordinary Share issued to Qian Kun as of the Closing.
Qian Kun is the direct owner of the Sale Shares. Qian Kun is deemed to have the shared power to vote or to direct the vote or dispose or direct the disposition of 80,000,000 shares of Ordinary Share, representing 11.1% of the Issuer’s total issued and outstanding shares of Ordinary Share as of the Closing.
Yunshi Wang is the indirect owner of the Sale Shares as stated above. Yunshi Wang is deemed to have the shared power to vote or to direct the vote or dispose or direct the disposition of 80,000,000 shares of Ordinary Share, representing 11.1% of the Issuer’s total issued and outstanding shares of Ordinary Share as of the Closing.
Except as disclosed in Items 5(a) and 5(b), none of the Reporting Persons has beneficially own any Ordinary Share, or has the right to acquire any Ordinary Share, nor presently have the power to vote or to direct the vote or to dispose or direct the disposition of any of the Ordinary Share which it may be deemed to beneficially own.
(c) Except as disclosed in this Statement, none of the Reporting Persons has effected any transaction in the Ordinary Share or other securities of the Issuer during the past 60 days.
(d) Except as set forth in this Item 5, no person other than the Reporting Persons is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities.
(e) Not applicable.
Item 6. | Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. |
The information set forth in Items 3 and 4 of this Statement is hereby incorporated by reference.
The Reporting Persons entered into a joint filing agreement on July 18, 2017 (the “Joint Filing Agreement”), pursuant to which they have agreed to file this Statement jointly in accordance with the provisions of Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended. A copy of the Joint Filing Agreement is attached hereto as Exhibit 99.2.
Except as set forth herein, none of the Reporting Persons has any contracts, arrangements, understandings or relationships (legal or otherwise) with respect to any securities of the Issuer, including but not limited to transfer or voting of any of the securities, finder’s fees, joint ventures, loan or option arrangements, puts or calls, guarantees of profits, division of profits or loss, or the giving or withholding of proxies. None of the Sale Shares as beneficially owned by the Reporting Persons is pledged or otherwise subject to a contingency the occurrence of which would give a person voting power or investment power over such securities.
Item 7. | Materials to be Filed as Exhibits. |
Exhibit No. |
Description | |
99.1 | Purchase Agreement, dated July 6, 2017, between Qian Kun Prosperous Times Investment Limited and SPI Energy Co., Ltd. | |
99.2 | Joint Filing Agreement, between the Reporting Persons, dated July 18, 2017. |
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Dated: July 18, 2017
Yunshi Wang | ||
By: | /s/ Yunshi Wang | |
Qian Kun Prosperous Times Investment Limited | ||
By: | /s/ Yunshi Wang | |
Name: | Yunshi Wang | |
Title: | Director |