Statement of Changes in Beneficial Ownership (4)
June 26 2015 - 5:21PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Sun Henry
|
2. Issuer Name
and
Ticker or Trading Symbol
Highpower International, Inc.
[
HPJ
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
CFO
|
(Last)
(First)
(Middle)
BLDG. A1, LUOSHAN IND. ZONE, SHANXIA, PINGHU, LONGGANG, SHENZHEN
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/24/2015
|
(Street)
GUANGDONG, F4 518111
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Employee Stock Options (right to buy)
(1)
|
$4.12
|
6/24/2015
|
|
A
|
|
60000
|
|
6/24/2015
(2)
|
6/24/2025
|
Common Stock
|
60000
|
$0.00
|
60000
|
D
|
|
Employee Stock Options (right to buy)
(1)
|
$4.12
|
6/24/2015
|
|
A
|
|
40000
|
|
1/1/2016
(3)
|
6/24/2025
|
Common Stock
|
40000
|
$0.00
|
40000
|
D
|
|
Employee Stock Options (right to buy)
|
$3.55
|
|
|
|
|
|
|
11/1/2011
|
1/21/2021
|
Common Stock
|
250000
|
|
250000
|
D
|
|
40000
|
$2.63
|
|
|
|
|
|
|
11/14/2014
|
11/14/2023
|
Common Stock
|
40000
|
|
40000
|
D
|
|
Explanation of Responses:
|
(
1)
|
Employee stock options (right to buy) ("Options") granted pursuant to Issuer's 2008 Omnibus Incentive Plan.
|
(
2)
|
Of such Options, 30,000 vest and are exercisable on the date of grant. The balance of 30,000 Options vest and are exercisable on the date of Issuer's board of directors meeting in the first quarter of 2016 or on March 31, 2016, whichever comes first.
|
(
3)
|
Subject to certain performance criteria, the Options vest in two tranches as follows: 20,000 Options vest on January 1, 2016, and the remaining 20,000 Options vest on December 1, 2016.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Sun Henry
BLDG. A1, LUOSHAN IND. ZONE, SHANXIA
PINGHU, LONGGANG, SHENZHEN
GUANGDONG, F4 518111
|
|
|
CFO
|
|
Signatures
|
/s/ Henry Sun
|
|
6/26/2015
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Highpower (NASDAQ:HPJ)
Historical Stock Chart
From Jun 2024 to Jul 2024
Highpower (NASDAQ:HPJ)
Historical Stock Chart
From Jul 2023 to Jul 2024
Real-Time news about Highpower International Inc (NASDAQ): 0 recent articles
More Highpower International, Inc. News Articles