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UQM UQM Technologies Inc

1.71
0.00 (0.00%)
17 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
UQM Technologies Inc AMEX:UQM AMEX Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 1.71 0 01:00:00

Initial Statement of Beneficial Ownership (3)

05/06/2019 8:23pm

Edgar (US Regulatory)


FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
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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 *

Sinotruk (BVI) Ltd

2. Date of Event Requiring Statement (MM/DD/YYYY)
8/25/2017 

3. Issuer Name and Ticker or Trading Symbol

UQM TECHNOLOGIES INC [UQM]

(Last)        (First)        (Middle)

UNITS 2102-03 SHUN TAK CENTRE CHINA, MERCHANTS TOWER 168-200 CONNAUGHT RD

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                            ___ X ___ 10% Owner
_____ Officer (give title below)          _____ Other (specify below)

(Street)

CENTRAL, K3 00000       

(City)              (State)              (Zip)
5. 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 Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
Common Stock   (1) 5347300   (2) D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares

Explanation of Responses:
(1)  As previously disclosed, the shares of common stock being reported by the Reporting Person were obtained in connection with a Stock Purchase Agreement with the Issuer that initially closed on September 25, 2017. Under the terms of the Stock Purchase Agreement, the Reporting Person's common stock share ownership constituted 9.90% of the Issuer's outstanding common stock as of September 25, 2017. Also under the terms of such Stock Purchase Agreement, the Reporting Person may, in connection with a separate closing, directly or beneficially, obtain additional shares of the Issuer's common stock such that the Reporting Person would own, directly and/or beneficially, up to 34% of the Issuer's common stock. The transactions originally contemplated in the Stock Purchase Agreement relating to such separate closing did not occur and were terminated.
(2)  The Reporting Person is a company organized under the laws of the British Virgin Islands and a wholly owned subsidiary of China National Heavy Duty Truck Group Co. Ltd., a company organized under the laws of the People's Republic of China ("CNHTC"). The shares being reported under this Form 3 are directly held by the Reporting Person, but any additional shares of the Issuer could have been also held by CNHTC or its affiliates.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Sinotruk (BVI) Ltd
UNITS 2102-03 SHUN TAK CENTRE CHINA
MERCHANTS TOWER 168-200 CONNAUGHT RD
CENTRAL, K3 00000

X


Signatures
/s/ Xiaomin Chen 6/4/2019
** 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 5(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.

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