- Statement of Changes in Beneficial Ownership (4)
April 07 2010 - 10:16AM
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
Expires:
February 28, 2011
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Ye Hu
|
2. Issuer Name
and
Ticker or Trading Symbol
Shengtai Pharmaceutical, Inc.
[
SGTI.OB
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chief Financial Officer
|
(Last)
(First)
(Middle)
CHANGDA ROAD EAST DEVELOPMENT DISTRICT, CHANGLE COUNTY
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/6/2010
|
(Street)
SHANDONG, F4 262400
(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
|
Options to purchase Common Stock
(1)
|
$2.6
|
4/6/2010
|
|
A
|
|
300000
|
|
4/6/2011
(1)
|
4/5/2020
|
Common Stock
|
300000
|
$0
|
300000
(1)
|
D
|
|
Explanation of Responses:
|
(
1)
|
This option (the "Option") was issued pursuant to the Company's 2007 Stock Incentive Plan and the Nonstatutory Stock Option Agreement dated April 6, 2010. The Opiton shall become exercisable during the term of Mr. Hu Ye's employment in 3 equal annual installments of 100,000 shares each, the first installment to be exercisable on the first anniversay of the date of Option, and each subsequent installment on each anniversary thereof.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Ye Hu
CHANGDA ROAD EAST DEVELOPMENT DISTRICT
CHANGLE COUNTY
SHANDONG, F4 262400
|
|
|
Chief Financial Officer
|
|
Signatures
|
/s/Hu Ye
|
|
4/7/2010
|
**
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.
|
Shengtai Pharmaceutical (GM) (USOTC:SGTI)
Historical Stock Chart
From Aug 2024 to Sep 2024
Shengtai Pharmaceutical (GM) (USOTC:SGTI)
Historical Stock Chart
From Sep 2023 to Sep 2024
Real-Time news about Shengtai Pharmaceutical Inc (GM) (OTCMarkets): 0 recent articles
More News Articles