Mga Batayang Estadistika
| CIK | 1384135 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Touchstone ETF Trust - Touchstone Climate Transition ETF
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| November 14, 2022 |
U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number: 000-1384135 ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☑ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For period ended: September 30, 2022 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q ☐ Transition |
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| August 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 LITHIUM & BORON TECHNOLOGY, INC. (Exact name of registr |
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| August 15, 2022 |
U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number: 000-1384135 ? Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For period ended: June 30, 2022 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transition Report on Form 10-Q ? Transition Repor |
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| May 20, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 LITHIUM & BORON TECHNOLOGY, INC. (Exact name of regist |
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| May 16, 2022 |
NT 10-Q 1 lbtech20220516nt10q.htm FORM NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐Form 10-K ☐Form 20-F ☐Form 11-K ☒Form 10-Q ☐Form 10-D ☐Form N-CEN ☐Form N-CSR For Period Ended: March 31, 2022 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Repo |
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| March 31, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021. OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34246 LITHIUM & BORO |
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| March 31, 2022 |
Subsidiaries of the Registrant Exhibit 21.1 Lithium & Boron Technology, Inc. and subsidiaries as of December 31, 2020 Subsidiary Name Jurisdiction of Incorporation Percentage Owned Mid-Heaven Sincerity International Resources Investment Co., Ltd British Virgin Islands 100% *Qing Hai Mid-Heaven Sincerity Technology Co., Ltd Peoples Republic of China 100% *Qing Hai Mid-Heaven Sincerity Salt-Lake R&D Co., Ltd Peoples Republic of C |
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| November 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 LITHIUM & BORON TECHNOLOGY, INC. (Exact name of re |
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| November 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 4, 2021 LITHIUM & BORON TECHNOLOGY, INC (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Com |
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| October 6, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 3, 2021 LITHIUM & BORON TECHNOLOGY, INC (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Comm |
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| October 6, 2021 |
Consent of Prager Metis CPAs, LLC, dated October 6, 2021 Exhibit 16.05 October 6, 2021 Securities and Exchange Commission 100 F Street N.E. Washington, D.C. 20549 We have read Item 4.01 of Form 8-K of Lithium & Boron Technology, Inc dated October 6, 2021. We agree with the statements made concerning our firm contained therein. We have no basis to agree or disagree with other statements of the registrant contained therein. Yours very truly, /s/ Prager Me |
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| August 23, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 LITHIUM & BORON TECHNOLOGY, INC. (Exact name of registr |
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| August 16, 2021 |
NT 10-Q 1 lbtech20210816nt10q.htm FORM NT 10-Q U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number: 001-34246 ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☑ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For period ended: June 30, 2021 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Tran |
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| May 17, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 LITHIUM & BORON TECHNOLOGY, INC. (Exact name of regist |
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| April 15, 2021 |
Subsidiaries of the Registrant Exhibit 21.1 Lithium & Boron Technology, Inc. and subsidiaries as of December 31, 2020 Subsidiary Name Jurisdiction of Incorporation Percentage Owned Mid-Heaven Sincerity International Resources Investment Co., Ltd British Virgin Islands 100% *Qing Hai Mid-Heaven Sincerity Technology Co., Ltd Peoples Republic of China 100% *Qing Hai Mid-Heaven Sincerity Salt-Lake R&D Co., Ltd Peoples Republic of C |
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| April 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020. OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34246 LITHIUM & BORO |
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| March 31, 2021 |
NT 10-K 1 lbtech20210330nt10k.htm FORM NT 10-K U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number: 001-34246 ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For period ended: December 31, 2020 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ |
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| March 1, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 LITHIUM & BORON TECHNOLOGY, INC. (Name of Issuer) Common Stock, par value $.001 (Title of Class of Securities) 83172F203 (CUSIP Number) Ginko International Investment Co., Ltd Wickhams Cay II, Road Town, Tortola British Virgin Islands VG1110 (Name, Address and Telephone Nu |
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| March 1, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 5 )* Under the Securities Exchange Act of 1934 Lithium & Boron Technology, Inc. (Name of Issuer) Common Stock, par value $.001 (Title of Class of Securities) 83172F203 (CUSIP Number) Northtech Holdings Inc. Mill Mall 6, Wickhams Cay 1 P.O. Box 3085 Road Town, Tortola British Virgin Islands Copy to: |
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| March 1, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Amendment No. 1 Under the Securities Exchange Act of 1934 LITHIUM & BORON TECHNOLOGY, INC. (Name of Issuer) Common Stock, par value $.001 (Title of Class of Securities) 83172F203 (CUSIP Number) Jimin Zhang 83 Gou Zhong Shang Ye Building, 33 Deng Shi Dou Street Beijing China 100006 Copy to: Newman & Morrison, LLP 1 |
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| November 16, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 lbtech2020093010q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 LITHIUM & B |
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| August 13, 2020 |
10-Q 1 lbtech2020063010q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 LITHIUM & BORON |
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| June 19, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 LITHIUM & BORON TECHNOLOGY, INC. (Exact name of regist |
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| June 18, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 16, 2020 LITHIUM & BORON TECHNOLOGY, INC (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commis |
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| May 14, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 14, 2020 LITHIUM & BORON TECHNOLOGY, INC (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commiss |
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| April 14, 2020 |
Subsidiaries of the Registrant Exhibit 21.1 Lithium & Boron Technology, Inc. and subsidiaries as of December 31, 2020 Subsidiary Name Jurisdiction of Incorporation Percentage Owned Mid-Heaven Sincerity International Resources Investment Co., Ltd British Virgin Islands 100% *Qing Hai Mid-Heaven Sincerity Technology Co., Ltd Peoples Republic of China 100% *Qing Hai Mid-Heaven Sincerity Salt-Lake R&D Co., Ltd Peoples Republic of C |
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| April 14, 2020 |
HEAT / SmartHeat, Inc. 10-K - Annual Report - FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019. OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34246 LITHIUM & BORO |
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| April 3, 2020 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 27, 2020 (PRC Time) LITHIUM & BORON TECHNOLOGY, INC (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporat |
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| April 3, 2020 |
Exhibit 10.35 大柴旦盐湖资源综合利用许可协议 License agreement for comprehensive utilization of Dachaidan Salt Lake Resources 甲方：青海中天硼锂矿业有限公司 住所：青海省海西州大柴旦镇人民东路60号 乙方：青海中天硼锂科技有限公司 住所：青海省海西州大柴旦镇人民东路60号 Party A: Qinghai Zhongtian boron lithium Technology Co., Ltd Address: No.60, Renmin East Road, Dachaidan Town, Haixi Prefecture, Qinghai Province Party B: Xi'an jinzang membrane Environmental Protection Technology C |
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| April 3, 2020 |
Exhibit 10.33 硼锂科技 投资合作协议 西安金藏膜 投资合作协议 Investment cooperation agreement 甲方：青海中天硼锂科技有限公司 住所：青海省海西州大柴旦镇人民东路60号 乙方：西安金藏膜环保科技有限公司 住所：西安市碑林区雁塔路中段13号陕西省膜分离技术研究院301室 Party A: Qinghai Zhongtian boron lithium Technology Co., Ltd Address: No.60, Renmin East Road, Dachaidan Town, Haixi Prefecture, Qinghai Province Party B: Xi'an jinzang membrane Environmental Protection Technology Co., Ltd 1 of 34 硼锂科技 投资合作协 |
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| April 3, 2020 |
Exhibit 10.34 合作备忘录 Memorandum of Cooperation 1 2020年3月27日 March 27, 2020 甲方：青海中天硼锂科技有限公司 Party A: Qinghai Zhongtain Boron & Lithium Technology Co., Ltd. 住所：青海省海西州大柴旦镇人民东路60号 Address: No. 60, Renmin East Road, Da Qaidam Township, Haixi Prefecture, Qinghai Province 乙方：西安金藏膜环保科技有限公司 Party B: Xi’an Jinzang Membrane Environmental Protection and Technology 住所：西安市碑林区雁塔路中段13号陕西省膜分离技术研究院301室 Address: Room |
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| March 31, 2020 |
HEAT / SmartHeat, Inc. NT 10-K - - FORM NT 10-K U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number: 000-1384135 ☑ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For period ended: December 31, 2019 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q ☐ Transition R |
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| November 14, 2019 |
LBTI / LITHIUM & BORON TECHNOLOGY INC 10-Q - Quarterly Report - FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 LITHIUM & BORON TECHNOLOGY, INC. (Exact name of re |
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| November 7, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 23, 2019 LITHIUM & BORON TECHNOLOGY, INC (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Com |
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| November 7, 2019 |
Exhibit 3.13 BARBARA K. CEGAVSKE Secretary of State 202 North Carson Street Carson City, Nevada 89701-4201 (775) 684-5708 Website: www.nvsos.gov Certificate of Amendment (PURSUANT TO NRS 78.385 AND 78.390) USE BLACK INK ONLY - DO NOT HIGHLIGHT ABOVE SPACE IS FOR OFFICE USE ONLY Certificate of Amendment to Articles of Incorporation For Nevada Profit Corporations (Pursuant to NRS 78.385 and 78.390 - |
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| October 1, 2019 |
Exhibit 10.30 EQUITY INTEREST PURCHASE AGREEMENT Party A: Heat PHE, Inc, a corporation organized under the laws of Nevada with an address of 1802 North Carson Street, Suite 212, Carson City NV 89701. Party B: Ms. Wang Shi Hui with an address of No. 10-1, 7th Street, Economic Development Zone, Shen Yang, Liao Ning Province China. This Equity Interest Purchase Agreement (the “EIPA”) is executed as o |
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| October 1, 2019 |
Exhibit 10.29 EQUITY INTEREST PURCHASE AGREEMENT Party A: Heat HP, Inc, a corporation organized under the laws of Nevada with an address of 1802 North Carson Street, Suite 212, Carson City NV 89701. Party B: Mr. Wang Ying Kai with an address of No. 10-1, 7th Street, Economic Development Zone, Shen Yang, Liao Ning Province China. This Equity Interest Purchase Agreement (the “EIPA”) is executed as o |
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| October 1, 2019 |
MJF & Associates Consent Letter, dated October 1, 2019 Exhibit 16.04 October 1, 2019 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: SmartHeat, Inc. (Commission file number: 001-34246) We have read the statements of SmartHeat, Inc. included under Item 4.01 of Form 8-K to be filed with the SEC on October 1, 2019 and agree with such statements as they pertain to our firm. Sincerely, MJF & Associates, APC 515 S. Flower St |
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| October 1, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 27, 2019 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commission File Nu |
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| October 1, 2019 |
Exhibit 10.28 EQUITY INTEREST PURCHASE AGREEMENT Party A: Heat HP, Inc, a corporation organized under the laws of Nevada with an address of 1802 North Carson Street, Suite 212, Carson City NV 89701. Party B: Ms. Wang Shi Hui with an address of No. 10-1, 7th Street, Economic Development Zone, Shen Yang, Liao Ning Province China. This Equity Interest Purchase Agreement (the “EIPA”) is executed as of |
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| October 1, 2019 |
Exhibit 10.32 EQUITY INTEREST PURCHASE AGREEMENT Party A: Heat HP, Inc., a corporation organized under the laws of the state of Nevada with its registered address at 1802 North Carson Street, Suite 212, Carson City NV 89701. Party B: Mr. He Yi with an address of Building 7-1-301, No.7 Yao Jia Yuan Xi Li, Chaoyang District Beijing China. This Equity Interest Purchase Agreement (the “EIPA”) is execu |
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| October 1, 2019 |
Exhibit 10.27 EQUITY INTEREST PURCHASE AGREEMENT Party A: Heat HP, Inc., a corporation organized under the laws of the state of Nevada with its registered address at 1802 North Carson Street, Suite 212, Carson City NV 89701. Party B: Beijing Chang Ze Consulting, Ltd with an address Building 1-167, No.4 Fa Tou Dong Li, Chaoyang District Beijing, China. This Equity Interest Purchase Agreement (the “ |
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| October 1, 2019 |
Exhibit 10.31 EQUITY INTEREST PURCHASE AGREEMENT Party A: Heat PHE, Inc, a corporation organized under the laws of Nevada with an address of 1802 North Carson Street, Suite 212, Carson City NV 89701. Party B: Mr. Wang Ying Kai with an address of No. 10-1, 7th Street, Economic Development Zone, Shen Yang, Liao Ning Province China. This Equity Interest Purchase Agreement (the “EIPA”) is executed as |
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| September 27, 2019 |
HEAT / SmartHeat, Inc. DEF 14C - - FORM DEF 14C DEF 14C 1 smartheat20190925def14c.htm FORM DEF 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☐ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ☒ Definitive Informa |
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| September 27, 2019 |
HEAT / SmartHeat, Inc. 10-Q - Quarterly Report - FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEAT INC. (Exact name of registrant as specified i |
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| September 27, 2019 |
HEAT / SmartHeat, Inc. 10-Q - Quarterly Report - FORM 10-Q 10-Q 1 smartheat2019033110q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEAT IN |
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| September 17, 2019 |
HEAT / SmartHeat, Inc. PRE 14C - - FORM PRE 14C PRE 14C 1 smartheat20190916pre14c.htm FORM PRE 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☒ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ☐ Definitive Informa |
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| July 12, 2019 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 7, 2019 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commission File Num |
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| July 12, 2019 |
Exhibit 99.2 Unaudited pro forma combined balance sheet for SmartHeat and Mid-Haven for fiscal year ended December 31, 2017 and income statements for SmartHeat and Mid-Haven for the fiscal years ended December 31, 2017 and 2018, together with footnotes thereto SMARTHEAT, INC. AND MID-HEAVEN SINCERITY INTERNATIONAL RESOURCES INVESTMENT CO., LTD (OR "MID-HEAVEN BVI") Unaudited Pro forma Combined Bal |
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| July 12, 2019 |
EXHIBIT 99.1 Audited Consolidated Financial Statement Of Mid-Heaven Sincerity International Resources Investment Co., Ltd, And The Notes Related Thereto For The Two Years Ended December 31, 2017 And 2018 Together With The Management Disclosure And Analysis For The Periods Thereto. REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Directors and Stockholders of SmartHeat Inc Op |
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| July 12, 2019 |
Exhibit 3.10 Qinghai Zhongtiancheng Resources Technology Co, Ltd. - A Wholly Foreign-Owned Enterprise Articles of Association Chapter One General Article 1 In accordance with the Law of the PRC on Foreign-Funded Enterprises and the provisions of laws, decrees and regulations, Zhongtiancheng International Resources Investment Co, Ltd. is to create “Qinghai Zhongtiancheng Resources Technology Co, Lt |
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| July 12, 2019 |
Exhibit 3.6 CERTIFICATE OF INCORPORATION (Duplicate) USCC 91632824MA7592YC3J (1-1) Name: Qinghai Zhongtian Boron Lithium Technology Co., Ltd. Type: Limited Liability Company Address: No. 60, East Renmin Road, Dachaidan Town, Haixi State, Qinghai Province Legal representative: Zhang Mao Registered capital: RMB 10 Million Yuan Establishment Date: Dec. 18, 2018 Business term: Long-term Business scope |
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| July 12, 2019 |
Exhibit 3.7 CERTIFICATE OF INCORPORATION (Duplicate) USCC 91632824MA758X4W51 (1-2) Name: Qinghai Zhongtiancheng Salt Lake Resources R&D Co., Ltd. Type: Limited Liability Company Address: No. 60, East Renmin Road, Dachaidan Town, Haixi State, Qinghai Province Legal representative: Zhang Mao Registered capital: RMB 6 Million Yuan Establishment Date: September 06, 2018 Business Term: from September 0 |
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| July 12, 2019 |
Subsidiaries of the Registrant Exhibit 21.1 SmartHeat Inc. and subsidiaries as of December 31, 2013 Subsidiary Name Jurisdiction of Incorporation Percentage Owned Heat HP Inc. Nevada, United States 100% *SmartHeat (China) Investment Co., Ltd. People’s Republic of China 100% *SmartHeat (Shanghai) Trading Co., Ltd. People’s Republic of China 100% *SmartHeat (Shenyang) Heat Pump Technology Co., Ltd. People’s Republic of China 98.8 |
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| July 12, 2019 |
Certificate of Incorporation of Midheaven Sincerity International Resources Investment Co., Ltd Exhibit 3.12 TERRITORY OF THE BRITISH VIRGIN ISLANDS BVI BUSINESS COMPANIES ACT, 2004 CERTIFICATE OF INCORPORATION (SECTION 7) 2390050214 The REGISTRAR of CORPORATE AFFAIRS, of the British Virgin Islands HEREBY CERTIFIES, that pursuant to the BVI Business Companies Act, 2004, all the requirements of the Act in respect of incorporation having been complied with, Midheaven Sincerity International Re |
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| July 12, 2019 |
Exhibit 3.11 BVI COMPANY NUMBER: 1975498 TERRITORY OF THE BRITISH VIRGIN ISLANDS THE BVI BUSINESS COMPANIES ACT, 2004 MEMORANDUM AND ARTICLES OF ASSOCIATION OF Midheaven Sincerity International Resources Investment Co., Ltd 中天诚国际资源投资有限公司 A COMPANY LIMITED BY SHARES Incorporated on the 6th day of April, 2018 INCORPORATED IN THE BRITISH VIRGIN ISLANDS TERRITORY OF THE BRITISH VIRGIN ISLANDS THE BVI |
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| July 12, 2019 |
EX-10.26 12 ex149458.htm EXHIBIT 10.26 Exhibit 10.26 Of Mining Right Assignment Contract in Qinghai Province Contract No.: 2005-1 Assignor: Department of Land Resources of Qinghai Province Assignee: Qinghai Zhongtian Boron Lithium Mining Co. Ltd. Signing Place: Department of Land Resources of Qinghai Province Signing Date: January 5, 2005 Mining Right Assignment Contract Assignor: Department of La |
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| July 12, 2019 |
HEAT / SmartHeat, Inc. 10-K - Annual Report - FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018. OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34246 SMARTHEAT INC. |
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| July 12, 2019 |
Form of Share Certificate of Midheaven Sincerity International Resources Investment Co. Ltd Exhibit 4.2 中天诚国际资源投资有限公司 Midheaven Sincerity International Resources Investment Co., Ltd NAME AND ADDRESS OF SHAREHOLDER CERTIFICATE NUMBER DISTINCTIVE NUMBERS PAR VALUE PER SHARE ***7*** FROM TO US$1.00 SMARTHEAT INC 701 S CARSON ST STE 200, CARSON CITY, NV 89701 1 50,000 DATE OF ISSUE NO. OF SHARES CONSIDERATION PAID 14 January 2019 ***50,000*** US$50,000.00 SHARE CERTIFICATE OF 中天诚国际资源投资有限公司 M |
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| July 12, 2019 |
Exhibit 3.9 CERTIFICATE OF INCORPORATION (Duplicate) USCC 91630000MA758T0G8N (l-2) Name: Qinghai Zhongtiancheng Resources Technology Co, Ltd. Type: Limited Liability Company (solely-invested by the wholly foreign-owned legal person) Address: No. 60, East Renmin Road, Dachaidan Town, Haixi State, Qinghai Province Legal representative: Zhang Mao Registered capital: $1 million dollars Establishment D |
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| July 12, 2019 |
HEAT / SmartHeat, Inc. 10-K/A - Annual Report - FORM 10-K/A 10-K/A 1 smartheat2017123110ka.htm FORM 10-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Amendment No. 1) (Mark One) ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017. OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transiti |
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| July 12, 2019 |
Exhibit 3.5 Qinghai Zhongtian Boron Lithium Technology Co., Ltd. Articles of Association Chapter One General Article 1 The purpose of the company: Through the establishment of the company organization form, shareholders jointly provide capital for investment to establish a new operating mechanism, contributing to the revitalization of the economy. The articles of association of the company shall b |
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| July 12, 2019 |
Exhibit 10.25 Exclusive Agreement Party A: Qinghai Zhongtian Boron and Lithium Science & Technology Co., Ltd. (hereinafter referred to as Party A) Party B: Qinghai Zhongtian Boron and Lithium Mining Co., Ltd. (hereinafter referred to as Party B) Based upon good trust, in consideration of the long-term development strategy of both parties, the following agreement has been reached after friendly neg |
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| July 12, 2019 |
Subsidiaries of the Registrant Exhibit 21.1 SmartHeat Inc. and subsidiaries as of December 31, 2013 Subsidiary Name Jurisdiction of Incorporation Percentage Owned Mid-Heaven Sincerity International Resources Investment Co., Ltd British Virgin Islands 100% *Qing Hai Mid-Heaven Sincerity Technology Co., Ltd Peoples Republic of China 100% *Qing Hai Mid-Heaven Sincerity Salt-Lake R&D Co., Ltd Peoples Republic of China 100% *Qing Ha |
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| July 12, 2019 |
Exhibit 3.8 Qinghai Zhongtiancheng Salt Lake Resources R&D Co., Ltd. Articles of Association Chapter One General Article 1 This Articles of Association is prepared in accordance with the Company Law of the People's Republic of China (hereinafter referred to as the Company Law) and relevant laws and regulations in order to regulate the organization and behavior of the company, to protect the legiti |
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| July 5, 2019 |
Form of MJF & Associates, APC letter to the Securities and Exchange Commission, dated June 6, 2019 EX-16.02 2 ex149287.htm EXHIBIT 16.02 EXHIBIT 16.02 [MJF & Associates Letterhead] June 6, 2019 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Issuer: Smartheat, Inc. (CIK 1384135) Dear Sirs and Madams: We write to inform you that on May 1, 2019, MJF & Associates, APC informed Smartheat, Inc. that the firm has resigned as the independent public accountants for Smarthea |
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| July 5, 2019 |
MJF & Associates Consent Letter EXHIBIT 16.3 July 5, 2019 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: SmartHeat, Inc. (Commission file number: 001-34246) We have read the statements of SmartHeat, Inc. included under Item 4.01 of Form 8-K to be filed with the SEC on July 5, 2019 and agree with such statements as they pertain to our firm. Sincerely, MJF & Associates, APC 515 S. Flower Street, S |
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| July 5, 2019 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 31, 2019 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commission File Number) |
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| March 4, 2019 |
8-K 1 smartheat201902288k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 27, 2019 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction |
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| March 4, 2019 |
EXHIBIT 3.04 BARBARA K. CEGAVSKE Secretary of State 202 North Carson Street Carson City, Nevada 89701-4201 (775) 684-5708 Website: www.nvsos.gov Filed in the office of Barbara K. Cegavske Secretary of State State of Nevada Document Number 20190083602-31 Filing Date and Time 02/26/2019 9:22 AM Entity Number E0579092006-7 Certificate of Amendment (PURSUANT TO NRS 78.385 AND 78.390) USE BLACK INK ONL |
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| February 6, 2019 |
HEAT / SmartHeat, Inc. FORM DEF 14C DEF 14C 1 smartheat20190205def14c.htm FORM DEF 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☐ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ☒ Definitive Informa |
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| February 6, 2019 |
HEAT / SmartHeat, Inc. SCHEDULE 14F1 SC 14F1 1 smartheat20190205sc14f1.htm SCHEDULE 14F1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14F-1 INFORMATION STATEMENT PURSUANT TO SECTION 14(f) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 14f-1 THEREUNDER SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Co |
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| February 6, 2019 |
HEAT / SmartHeat, Inc. / Zhang Mao - SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 SMARTHEAT INC. (Name of Issuer) Common Stock, par value $.001 (Title of Class of Securities) 83172F203 (CUSIP Number) Mao Zhang 60 East Ren-Min Road, Da-Chai Dan Town, Xai Xi County, Qing Hai Province China 800001 Copy to: Newman & Morrison, LLP 1872 Pleasantville Road Sui |
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| February 6, 2019 |
HEAT / SmartHeat, Inc. / Northtech Holdings Inc. - SCHEDULE 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 4 )* Under the Securities Exchange Act of 1934 SMARTHEAT INC. (Name of Issuer) Common Stock, par value $.001 (Title of Class of Securities) 83172F203 (CUSIP Number) Northtech Holdings Inc. Mill Mall 6, Wickhams Cay 1 P.O. Box 3085 Road Town, Tortola British Virgin Islands Copy to: Newman & Morrison, |
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| February 6, 2019 |
HEAT / SmartHeat, Inc. / Zhang Jian - SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 SMARTHEAT INC. (Name of Issuer) Common Stock, par value $.001 (Title of Class of Securities) 83172F203 (CUSIP Number) Jian Zhang 60 East Ren-Min Road, Da-Chai Dan Town, Xai Xi County, Qing Hai Province China 800001 Copy to: Newman & Morrison, LLP 1872 Pleasantville Road Su |
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| February 6, 2019 |
HEAT / SmartHeat, Inc. / Zhang Jimin - SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 SMARTHEAT INC. (Name of Issuer) Common Stock, par value $.001 (Title of Class of Securities) 83172F203 (CUSIP Number) Jimin Zhang 83 Gou Zhong Shang Ye Building, 33 Deng Shi Dou Street Beijing China 100006 Copy to: Newman & Morrison, LLP 1872 Pleasantville Road Suite 177 B |
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| January 28, 2019 |
HEAT / SmartHeat, Inc. FORM 10-Q (Quarterly Report) 10-Q 1 smartheat2018093010q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEA |
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| January 28, 2019 |
HEAT / SmartHeat, Inc. FORM 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEAT INC. (Exact name of registrant as specified i |
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| January 28, 2019 |
HEAT / SmartHeat, Inc. FORM 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEAT INC. (Exact name of registrant as specified |
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| January 25, 2019 |
8-K/A 1 smartheat201901258ka.htm FORM 8-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 31, 2018 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Juris |
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| January 25, 2019 |
EXHIBIT 10.24 AMENDMENT SHARE EXCHANGE AGREEMENT This Amendment (the “Amendment”), dated January 24, 2019 is being entered into between SmartHeat Inc., a Nevada corporation (the “Company”), by and among Mid-Heaven Sincerity International Resources Investment Co., Ltd, a company incorporated under the laws of the British Virgin Islands (“Mid-Heaven”), Smartheat Inc., a Nevada corporation (“Purchase |
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| January 15, 2019 |
HEAT / SmartHeat, Inc. FORM PRE 14C PRE 14C 1 smartheat20190115pre14c.htm FORM PRE 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☒ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ☐ Definitive Informa |
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| January 7, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 31, 2018 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commission File Num |
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| January 7, 2019 |
EX-10.23 3 ex132550.htm EXHIBIT 10.23 Exhibit 10.23 SHARE EXCHANGE AGREEMENT AND PLAN OF REORGANIZATION BY AND BETWEEN MID-HEAVEN SINCERITY INTERNATIONAL RESOURCES INVESTMENT CO., LTD SMARTHEAT INC. AND THE STOCKHOLDERS OF MID-HEAVEN SINCERITY INTERNATIONAL RESOURCES INVESTMENT CO., LTD DATED DECEMBER 31, 2018 SHARE EXCHANGE AGREEMENT AND PLAN OF REORGANIZATION This SHARE EXCHANGE AGREEMENT AND PL |
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| January 7, 2019 |
Exhibit 2.4 BARBARA K. CEGAVSKE Secretary of State 202 North Carson Street Carson City, Nevada 89701-4201 (775) 684-5708 Website: www.nvsos.gov Filed in the office of Document Number 20180555982-15 Barbara K. Cegavske Secretary of State Filing Date and Time 12/27/2018 3:08 PM State of Nevada Entity Number E0579092006-7 Articles of Exchange (PURSUANT TO NRS 92A.200) Page 1 USE BLACK INK ONLY ● DO N |
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| December 21, 2018 |
EXHIBIT 10.22 AMENDMENT to AMENDMENT No. 6 TO THE CREDIT AND SECURITY AGREEMENT This Amendment, dated December 20, 2018, (the “Amendment”) to the Sixth Amendment, dated June 14, 2018 (the “Sixth Amendment”) to the Credit and Security Agreement Agreement, dated July 27, 2012 (the “Credit Agreement”), as amended, between SmartHeat Inc., a Nevada corporation (the “Company”), having an address at 1802 |
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| December 21, 2018 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K/A 1 smartheat201812208ka.htm FORM 8-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 14, 2018 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdict |
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| November 30, 2018 |
HEAT / SmartHeat, Inc. FORM 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017. OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34246 SMARTHEAT INC. |
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| November 30, 2018 |
Subsidiaries of the Registrant Exhibit 21.1 SmartHeat Inc. and subsidiaries as of December 31, 2013 Subsidiary Name Jurisdiction of Incorporation Percentage Owned Heat HP Inc. Nevada, United States 100% *SmartHeat (China) Investment Co., Ltd. People’s Republic of China 100% *SmartHeat (Shanghai) Trading Co., Ltd. People’s Republic of China 100% *SmartHeat (Shenyang) Heat Pump Technology Co., Ltd. People’s Republic of China 98.8 |
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| June 20, 2018 |
Exhibit 10.21 AMENDMENT No. 6 TO THE CREDIT AND SECURITY AGREEMENT This Sixth Amendment (the “Sixth Amendment” or “Amendment”), dated June 14, 2018 is being entered into between SmartHeat Inc., a Nevada corporation (including any successor or permitted assignee thereof, the “Company”), having an address at 1802 North Carson Street, Suite 212, Carson City, NV 89701, and Northtech Holdings Inc., a B |
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| June 20, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 14, 2018 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commission File Number) |
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| April 30, 2018 |
HEAT / SmartHeat, Inc. 10-Q (Quarterly Report) 10-Q 1 smartheat10q063017.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEAT INC. (Exac |
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| April 30, 2018 |
HEAT / SmartHeat, Inc. 10-Q (Quarterly Report) 10-Q 1 smartheat10q033117.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEAT INC. (Exa |
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| April 30, 2018 |
HEAT / SmartHeat, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEAT INC. (Exact name of registrant as specif |
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| August 29, 2017 |
Subsidiaries of the Registrant Exhibit 21.1 SmartHeat Inc. and subsidiaries as of December 31, 2013 Subsidiary Name Jurisdiction of Incorporation Percentage Owned Heat HP Inc. Nevada, United States 100% *SmartHeat (China) Investment Co., Ltd. People’s Republic of China 100% *SmartHeat (Shanghai) Trading Co., Ltd. People’s Republic of China 100% *SmartHeat (Shenyang) Heat Pump Technology Co., Ltd. People’s Republic of China 98.8 |
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| August 29, 2017 |
HEAT / SmartHeat, Inc. 10-K (Annual Report) 10-K 1 smartheat10k123116.htm 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016. OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission f |
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| June 13, 2017 |
HEAT / SmartHeat, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEAT INC. (Exact name of registrant as specif |
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| February 17, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2016 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEAT INC. (Exact name of registrant as specified i |
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| January 13, 2017 |
8-K/A 1 smartheat8ka011317.htm 8-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-KA CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 31, 2016 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of I |
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| December 29, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 29, 2016 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commission File Num |
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| December 29, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2016 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEAT INC. (Exact name of registrant as specified |
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| September 15, 2016 |
Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders 8-K 1 smartheat8k091516.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 10, 2016 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of In |
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| August 2, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant o Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| August 2, 2016 |
8-K 1 smartheat8k080116.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 31, 2016 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorpo |
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| August 2, 2016 |
EX-10.20 2 ex10-20.htm EX-10.20 Exhibit 10.20 AMENDMENT NO. 5 TO THE CREDIT AND SECURITY AGREEMENT This fifth amendment (the “Fifth Amendment” or “Amendment”), dated July 31, 2016 is being entered into between SmartHeat Inc., a Nevada corporation (including any successor or permitted assignee thereof, the “Company”), having an address at 1802 North Carson Street, Suite 212, Carson City, NV 89701, |
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| July 20, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015. OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34246 SMARTHEAT INC. |
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| July 20, 2016 |
SmartHeat Inc. and subsidiaries as of December 31, 2013 Exhibit 21.1 SmartHeat Inc. and subsidiaries as of December 31, 2013 Subsidiary Name Jurisdiction of Incorporation Percentage Owned Heat HP Inc.(1) *SmartHeat (China) Investment Co., Ltd. *SmartHeat (Shanghai) Trading Co., Ltd. *SmartHeat (Shenyang) Heat Pump Technology Co., Ltd. *Beijing SmartHeat Jinhui Energy Technology Co., Ltd Heat PHE Inc.(2) *SanDeKe Co., Ltd. SmartHeat Heat Exchange Equipm |
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| July 15, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: ☑ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| January 25, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 smartheat10q093015.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2015 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEAT INC. |
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| December 30, 2015 |
ex10-19.htm Exhibit 10.16 AMENDMENT No. 4 TO THE CREDIT AND SECURITY AGREEMENT This fourth amendment (the ?Fourth Amendment? or ?Amendment?), dated December 28, 2015 and effective as of October 31, 2015 is being entered into between SmartHeat Inc., a Nevada corporation (including any successor or permitted assignee thereof, the ?Company?), having an address at 1802 North Carson Street, Suite 212, |
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| December 30, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 28, 2015 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commission File Num |
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| November 2, 2015 |
Exhibit 10.19 NIMBUS Restructuring Manager, LLC 11 South LaSalle Street Suite 1710 Chicago Illinois 60603 HEAT RESTRUCTURING AGREEMENT 1. Agreement This is intended to be a legally binding agreement entered into and effective as of August 31, 2015 and governed by the laws of Delaware between the following parties: ? Party A: SmartHeat Inc., a corporation organized under the laws of the state of Ne |
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| November 2, 2015 |
smartheat-def14c102715.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ¨ Preliminary Information Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ý Definitive Information Statement SMARTHEAT |
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| November 2, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 smartheat10q063015.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2015 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEAT INC. (Exac |
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| October 19, 2015 |
Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 16, 2015 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commission File Numb |
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| September 21, 2015 |
DEFA14A 1 smartheat-defa14a091615.htm DEFA 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitte |
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| September 21, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2015 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEAT INC. (Exact name of registrant as specified |
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| May 13, 2015 |
smartheat8k051315.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 10, 2013 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) |
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| May 6, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2014. OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34246 SMARTHEAT INC. |
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| May 6, 2015 |
Subsidiaries of the Registrant Exhibit 21.1 SmartHeat Inc. and subsidiaries as of December 31, 2013 Subsidiary Name Jurisdiction of Incorporation Percentage Owned Urumchi XinRui Technology Limited Liability Company SmartHeat Heat Exchange Equipment Co., Ltd. Heat HP Inc.(1) *SmartHeat (China) Investment Co., Ltd. *SmartHeat (Shanghai) Trading Co., Ltd. *SmartHeat (Shenyang) Heat Pump Technology Co., Ltd. *SmartHeat Deutschland |
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| April 21, 2015 |
DEFR14A 1 smartheat-defr14a042115.htm DEFR14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted |
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| April 20, 2015 |
smartheat-def14a041715.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2 |
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| March 31, 2015 |
SMARTHEAT INC. A-1, 10, Street 7 Shenyang Economic and Technological Development Zone Shenyang, China March 30, 2015 VIA EMAIL Pamela Long Assistant Director Division of Corporation Finance U.S. Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Re: SmartHeat Inc. Preliminary Proxy Statement on Schedule 14A Filed February 17, 2015 File No. 001-34246 Dear Ms. Long: This let |
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| March 31, 2015 |
smartheat-nt10k123114.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 001-34246 CUSIP NUMBER: 83172F203 (Check One): x Form 10-K o Form 20-F o Form 11-K o Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: December 31, 2014 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transiti |
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| March 31, 2015 |
PRER14A 1 smartheat-prer14a033015.htm PRER14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: þ Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted |
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| March 24, 2015 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events smartheat8k032315.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 10, 2013 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) |
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| March 24, 2015 |
CORRESP 1 filename1.htm SMARTHEAT INC. A-1, 10, Street 7 Shenyang Economic and Technological Development Zone Shenyang, China March 23, 2015 VIA EMAIL Pamela Long Assistant Director Division of Corporation Finance U.S. Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Re: SmartHeat Inc. Preliminary Proxy Statement on Schedule 14A Filed February 17, 2015 File No. 001-34246 |
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| March 24, 2015 |
EX-10.20 2 ex10-20.htm EX-10.20 Exhibit 10.20 Amendment No. 1 to the Amended and Restated EQUITY INTEREST PURCHASE AGREEMENT This first amendment (the “Amendment”) to the Amended and Restated Equity Interest Purchase Agreement, dated November 28, 2014 (the “Restated EIPA”), is being entered into on March 19, 2015 by and between Heat PHE, Inc, a Nevada corporation (including any successor or permit |
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| March 23, 2015 |
PRER14A 1 smartheat-prer14a032315.htm PRER14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: þ Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted |
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| February 17, 2015 |
Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders 8-K 1 smartheat8k021615.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2014 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Inc |
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| February 17, 2015 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 12, 2015 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commission File Num |
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| February 17, 2015 |
Letter from GKM to the Securities and Exchange Commission, dated February 17, 2015 Exhibit 16.1 February 17, 2015 Securities and Exchange Commission 100 F Street N .E. Washington , D.C. 20549 Re : Smartheat, Inc Commission File No. 001-34246 Ladies and Gentlemen: We have read Smartheat, Inc.'s statements included under Item 4.01 of its Current Report on Form 8-K dated February 17, 2015 to be filed with the Securities and Exchange Commission regarding the change of auditors. We a |
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| February 17, 2015 |
HEAT / SmartHeat, Inc. CORRESP - - CORRESP 1 filename1.htm SMARTHEAT INC. A-1, 10, Street 7 Shenyang Economic and Technological Development Zone Shenyang, China February 16, 2015 VIA EMAIL Pamela Long Assistant Director Division of Corporation Finance U.S. Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Re: SmartHeat Inc. Preliminary Proxy Statement on Schedule 14A Filed February 5, 2015 File No. 001-342 |
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| February 17, 2015 |
HEAT / SmartHeat, Inc. PRER14A - - PRER14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: þ Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy State |
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| February 10, 2015 |
Subsidiaries of the Registrant Exhibit 21.1 SmartHeat Inc. and subsidiaries as of December 31, 2013 Subsidiary Name Jurisdiction of Incorporation Percentage Owned Urumchi XinRui Technology Limited Liability Company SmartHeat Heat Exchange Equipment Co., Ltd. Heat HP Inc.(1) *SmartHeat (China) Investment Co., Ltd. *SmartHeat (Shanghai) Trading Co., Ltd. *SmartHeat (Shenyang) Heat Pump Technology Co., Ltd. *SmartHeat Deutschland |
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| February 10, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 2 ) (Mark One) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2013. OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001 |
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| February 5, 2015 |
HEAT / SmartHeat, Inc. PRER14A - - PRER14A PRER14A 1 smartheat-prer14a020515.htm PRER14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: þ Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted |
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| February 5, 2015 |
HEAT / SmartHeat, Inc. CORRESP - - SMARTHEAT INC. A-1, 10, Street 7 Shenyang Economic and Technological Development Zone Shenyang, China February 5, 2015 VIA EMAIL Pamela Long Assistant Director Division of Corporation Finance U.S. Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Re: SmartHeat Inc. Preliminary Proxy Statement on Schedule 14A Filed December 31, 2014 File No. 001-34246 Dear Ms. Long: This l |
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| January 15, 2015 |
HEAT / SmartHeat, Inc. CORRESP - - CORRESP 1 filename1.htm SMARTHEAT INC. A-1, 10, Street 7 Shenyang Economic and Technological Development Zone Shenyang, China January 15, 2015 VIA E-MAIL Mr. John Cash Accounting Branch Chief Division of Corporation Finance U.S. Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Re: SmartHeat Inc. Form 10-K for the Fiscal Year Ended December 31, 2013 Filed April 15, 2014 F |
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| January 6, 2015 |
Financial Statements and Exhibits, Other Events 8-K 1 smartheat8k010615.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 10, 2013 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Inco |
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| December 31, 2014 |
HEAT / SmartHeat, Inc. PRE 14A - - PRE 14A PRE 14A 1 smartheat-pre14a122914.htm PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: þ Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted |
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| December 19, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2014 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEAT INC. (Exact name of registrant as specif |
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| December 12, 2014 |
HEAT / SmartHeat, Inc. DEFA14A - - DEFA14A DEFA14A 1 smartheat-defa14a121114.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted |
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| December 1, 2014 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 10, 2013 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commission File Numb |
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| December 1, 2014 |
Exhibit 10.19 Amended and Restated EQUITY INTEREST PURCHASE AGREEMENT Party A: Heat PHE, Inc., a corporation organized under the laws of the state of Nevada with its registered address at 1802 North Carson Street, Suite 212, Carson City NV 89701. Party B: Hongjun Zhang, on behalf of all Buyers identified in the Buyers’ Response to RFP submitted to SmartHeat on September 10, 2013 (the “Buyers”). Th |
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| November 25, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A (Amendment No. 1) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2014 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEAT INC. (Exact name of regis |
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| November 25, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A (Amendment No. 1) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2014 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEAT INC. (Exact name of regi |
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| October 24, 2014 |
Subsidiaries of the Registrant Exhibit 21.1 SmartHeat Inc. and subsidiaries as of December 31, 2013 Subsidiary Name Jurisdiction of Incorporation Percentage Owned Urumchi XinRui Technology Limited Liability Company SmartHeat Heat Exchange Equipment Co., Ltd. Heat HP Inc.(1) *SmartHeat (China) Investment Co., Ltd. *SmartHeat (Shanghai) Trading Co., Ltd. *SmartHeat (Shenyang) Heat Pump Technology Co., Ltd. *SmartHeat Deutschland |
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| October 24, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2013. OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001- |
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| October 3, 2014 |
Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders 8-K 1 smartheat8k100314.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 30, 2014 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of In |
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| September 23, 2014 |
HEAT / SmartHeat, Inc. DEFR14A - - DEFR14A DEFR14A 1 smartheat-defr14a092314.htm DEFR14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted |
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| September 19, 2014 |
HEAT / SmartHeat, Inc. DEF 14A - - DEF 14A DEF 14A 1 smartheat-def14a091814.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted |
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| September 18, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 18, 2014 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commission File Nu |
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| September 17, 2014 |
HEAT / SmartHeat, Inc. PRER14A - - PRER14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 3) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: þ Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defi |
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| September 9, 2014 |
HEAT / SmartHeat, Inc. DEFA14A - - DEFA 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy State |
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| September 8, 2014 |
HEAT / SmartHeat, Inc. CORRESP - - CORRESP 1 filename1.htm August 11, 2014 VIA EMAIL Pamela Long Assistant Director Division of Corporation Finance U.S. Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Re: SmartHeat Inc. Preliminary Proxy Statement on Schedule 14A Filed July 9, 2014 File No. 001-34246 Dear Ms. Long: This letter is being written on behalf of our client SmartHeat Inc. (the “Company”) in ord |
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| September 8, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2014 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEAT INC. (Exact name of registrant as specified i |
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| September 8, 2014 |
HEAT / SmartHeat, Inc. PRER14A - - PRER14A PRER14A 1 smartheat-prer14a090714.htm PRER14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 2 ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: þ Preliminary Proxy Statement o Confidential, for Use of the Commission |
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| September 5, 2014 |
HEAT / SmartHeat, Inc. CORRESP - - CORRESP 1 filename1.htm SMARTHEAT INC. A-1, 10, Street 7 Shenyang Economic and Technological Development Zone Shenyang, China 110141 September 5, 2014 VIA EMAIL Pamela Long Assistant Director Division of Corporation Finance U.S. Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Re: SmartHeat Inc. Amendment No.1 to Preliminary Proxy Statement on Schedule 14A Filed August 1 |
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| September 5, 2014 |
HEAT / SmartHeat, Inc. CORRESP - - CORRESP 1 filename1.htm Newman & Morrison LLP 44 Wall Street New York, NY 10005 Tel: (212) 248-1001 Fax: (212) 232-0386 www.newmanmorrison.com Robert newman Tel: (212) 248-1001 [email protected] September 5, 2014 VIA EMAIL Pamela Long Assistant Director Division of Corporation Finance U.S. Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Re: SmartHeat Inc. Amend |
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| August 18, 2014 |
HEAT / SmartHeat, Inc. PRER14A - - PRER14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1 ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: þ Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Def |
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| August 14, 2014 |
HEAT / SmartHeat, Inc. NT 10-Q - - NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 001-34246 CUSIP NUMBER: 83172F203 (Check One): o Form 10-K o Form 20-F o Form 11-K x Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: June 30, 2014 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11-K o Trans |
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| July 28, 2014 |
HEAT / SmartHeat, Inc. / Northtech Holdings Inc. - SC 13D/A Activist Investment SC 13D/A 1 smartheat-sc13da072814.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 3 )* Under the Securities Exchange Act of 1934 SMARTHEAT,INC. (Name of Issuer) Common Stock, par value $.001 (Title of Class of Securities) 83172F203 (CUSIP Number) Northtech Holdings Inc. Don Williams Mill Mall 6 Wickhams Cay 1 P.O. Box 3085 Road Town, |
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| July 17, 2014 |
Exhibit 10.19 JULY 2014 AMENDMENT TO THE CREDIT AND SECURITY AGREEMENT This third amendment (the “July 2014 Amendment” or “Amendment”), dated as of July 14, 2014 is being entered into between SmartHeat Inc., a Nevada corporation (including any successor or permitted assignee thereof, the “Company”), having an address at 1802 North Carson Street, Suite 212, Carson City, NV 89701, and Northtech Hold |
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| July 17, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 14, 2014 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commission File Number) |
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| July 9, 2014 |
HEAT / SmartHeat, Inc. PRE 14A - - PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: þ Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| June 26, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2014 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEAT INC. (Exact name of registrant as specified |
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| May 28, 2014 |
HEAT / SmartHeat, Inc. / Northtech Holdings Inc. - SC 13D/A Activist Investment SC 13D/A 1 smartheat-sc13dant052814.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 2 )* Under the Securities Exchange Act of 1934 SMARTHEAT, INC. (Name of Issuer) Common Stock, par value $.001 (Title of Class of Securities) 83172F203 (CUSIP Number) Northtech Holdings Inc. Don Williams Mill Mall 6 Wickhams Cay 1 P.O. Box 3085 Road To |
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| May 14, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 001-34246 CUSIP NUMBER: 83172F203 (Check One): o Form 10-K o Form 20-F o Form 11-K x Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: March 31, 2014 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11-K o Tran |
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| April 15, 2014 |
Subsidiaries of the Registrant Exhibit 21.1 SmartHeat Inc. and subsidiaries as of December 31, 2013 Subsidiary Name Jurisdiction of Incorporation Percentage Owned Urumchi XinRui Technology Limited Liability Company SmartHeat Heat Exchange Equipment Co., Ltd. Heat HP Inc.(1) *SmartHeat (China) Investment Co., Ltd. *SmartHeat (Shanghai) Trading Co., Ltd. *SmartHeat (Shenyang) Heat Pump Technology Co., Ltd. *SmartHeat Deutschland |
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| April 15, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2013. OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34246 SMARTHEAT INC. |
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| April 1, 2014 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 10, 2013 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commission File Numb |
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| March 31, 2014 |
NT 10-K 1 smartheat-nt10k123113.htm NT 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 001-34246 CUSIP NUMBER: 83172F203 (Check One): x Form 10-K o Form 20-F o Form 11-K o Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: December 31, 2013 o Transition Report on Form 10-K o Transition Report on Fo |
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| January 3, 2014 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 10, 2013 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commission File Numb |
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| December 16, 2013 |
Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders 8-K 1 smartheat8k121213.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 10, 2013 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Inc |
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| November 27, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2013 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEAT INC. (Exact name of registrant as specif |
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| November 15, 2013 |
NT 10-Q 1 smartheat-nt10q093013.htm NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 001-34246 CUSIP NUMBER: 83172F203 (Check One): o Form 10-K o Form 20-F o Form 11-K x Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: September 30, 2013 o Transition Report on Form 10-K o Transition Report on F |
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| October 28, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Defin |
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| October 28, 2013 |
DEFA14A 1 smartheat-defa14a102413.htm DEFA 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission |
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| October 15, 2013 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 10, 2013 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commission File Numb |
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| October 15, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: þ Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| October 15, 2013 |
Exhibit 10.18 EQUITY INTEREST PURCHASE AGREEMENT Party A: Heat PHE, Inc., a corporation organized under the laws of the state of Nevada with principal offices at 1802 North Carson Street, Suite 212, Carson City NV 89701. Party B: Hongjun Zhang, on behalf of all Buyers identified in the Buyers’ Response to RFP submitted to SmartHeat on September 10, 2013 (the “Buyers”). This Equity Interest Purchas |
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| October 7, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 smartheat10q063013.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2013 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEAT INC. (Exact nam |
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| September 30, 2013 |
Exhibit 99.9 SmartHeat Announces Selection of Stalking Horse Proposal, Terms of a Private Offering and Selection of Record Date for Annual Meeting September 30, 2013, SmartHeat Inc., (website: www.smartheatinc.com), announced today that its Board of Directors has selected a stalking proposal, commenced a private offering of securities and selected a record date for its annual meeting. Stalking Hor |
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| September 30, 2013 |
Response to SmartHeat Inc. Request for Proposals Exhibit 10.15 RESPONSE to SMARTHEAT, INC. REQUEST for PROPOSALS 1. This Response is submitted on behalf of the individuals listed on Exhibit A (“Buyers”). 2. Subject to Due Diligence, Buyers are interested in a acquiring all of SmatHeat’s direct and indirect interest in the following subsidiaries of SmartHeat (“Target Companies”): ● SmartHeat Taiyu (Shenyang) Energy Technology Co., Ltd. ● Siping N |
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| September 30, 2013 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 17, 2013 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commission File Nu |
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| August 29, 2013 |
LBTI / LITHIUM & BORON TECHNOLOGY INC / Northtech Holdings Inc. Activist Investment SC 13D/A 1 northtech-sc13da082713.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A (Amendment No. 1) Under the Securities Exchange Act of 1934 SMARTHEAT, INC. (Name of Issuer) Common Stock, par value $.001 (Title of Class of Securities) 83172F203 (CUSIP Number) Northtech Holdings Inc. Don Williams Mill Mall 6 Wickhams Cay 1 P.O. Box 3085 Road Town, Tortola |
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| August 26, 2013 |
Exhibit 10.16 ASSIGMENT AGREEMENT This Assignment Agreement (the “Agreement”) is made this 23rd day of August, 2013, by and between SmartHeat Inc., a Nevada corporation, having an address as 1802 North Carson Street, Suite 212, Carson City, NV 89701 (“Smartheat”), and Heat HP Inc., a Nevada corporation, having an address at 1802 North Carson Street, Suite 212, Carson City, NV 89701 (“Heat HP”), wh |
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| August 26, 2013 |
Exhibit 10.15 ASSIGNMENT AND ASSUMPTION AGREEMENT ASSIGNMENT AND ASSUMPTION AGREEMENT (this “Agreement”), dated as of August 23, 2013, among SmartHeat Inc. (the “Company”), a Nevada corporation having an address at 1802 North Carson Street, Suite 212, Carson City, NV 89701, and Northtech Holdings Inc., a British Virgin Islands business company (“Northtech”), having an address at Mill Mall, Suite 6 |
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| August 26, 2013 |
Exhibit 10.14 AUGUST 2013 AMENDMENT TO THE CREDIT AND SECURITY AGREEMENT This second amendment (the “August 2013 Amendment” or “Amendment”), dated August 23, 2013 is being entered into between SmartHeat Inc., a Nevada corporation (including any successor or permitted assignee thereof, the “Company”), having an address at 1802 North Carson Street, Suite 212, Carson City, NV 89701, and Northtech Hol |
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| August 26, 2013 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 23, 2013 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commission File Numbe |
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| August 26, 2013 |
Exhibit 10.17 ASSIGMENT AGREEMENT This Assignment Agreement (the “Agreement”) is made this 23rd day of August, 2013, by and between SmartHeat Inc., a Nevada corporation, having an address as 1802 North Carson Street, Suite 212, Carson City, NV 89701 (“Smartheat”), and Heat PHE Inc., a Nevada corporation, having an address at 1802 North Carson Street, Suite 212, Carson City, NV 89701 (“Heat PHE”), |
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| August 15, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 001-34246 CUSIP NUMBER: 83172F203 (Check One): o Form 10-K o Form 20-F o Form 11-K x Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: June 30, 2013 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11-K o Trans |
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| August 15, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 smartheat10q033113.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2013 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEAT INC. (Exact na |
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| June 11, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2012 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34246 SMARTHEAT INC. |
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| June 11, 2013 |
Subsidiaries of the Registrant Exhibit 21.1 SmartHeat Inc. and subsidiaries as of December 31, 2012 Subsidiary Name Jurisdiction of Incorporation Percentage Owned SmartHeat Taiyu (Shenyang) Energy Technology Co., Ltd. People?s Republic of China 100% * SmartHeat (Shenyang) Heat Pump Technology Co., Ltd. People?s Republic of China 98.8% (1) *SmartHeat Deutschland GmbH Germany 100% SanDeKe Co., Ltd. People?s Republic of China 100% |
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| June 11, 2013 |
8-K 1 smartheat8k060713.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 7, 2013 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporatio |
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| May 16, 2013 |
NT 10-Q 1 smartheatincnt10q051613.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 001-34246 CUSIP NUMBER: 83172F203 (Check One): o Form 10-K o Form 20-F o Form 11-K x Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: March 31, 2013 o Transition Report on Form 10-K o Transition Report on Form 20-F o |
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| April 1, 2013 |
NT 10-K 1 smartheat-nt10k123112.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 001-34246 CUSIP NUMBER: 83172F203 (Check One): x Form 10-K o Form 20-F o Form 11-K o Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: December 31, 2012 o Transition Report on Form 10-K o Transition Report on Form 20-F |
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| March 7, 2013 |
LBTI / LITHIUM & BORON TECHNOLOGY INC / Northtech Holdings Inc. Activist Investment SC 13D 1 northtech-sc13d030613.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 SMARTHEAT, INC. (Name of Issuer) Common Stock, par value $.001 (Title of Class of Securities) 83172F203 (CUSIP Number) Northtech Holdings Inc. Don Williams Mill Mall 6 Wickhams Cay 1 P.O. Box 3085 Road Town, Tortola British Virgin Islands |
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| February 25, 2013 |
8-K 1 smartheat8k022513.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 20, 2013 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorpo |
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| December 28, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 21, 2012 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commission File Num |
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| December 28, 2012 |
Exhibit 10.13 DECEMBER 2012 AMENDMENT TO THE CREDIT AND SECURITY AGREEMENT This first amendment (the “December 2012 Amendment” or “Amendment”), dated December 21, 2012 is being entered into between SmartHeat Inc., a Nevada corporation (including any successor or permitted assignee thereof, the “Company”), having an address at 1802 North Carson Street, Suite 212, Carson City, NV 89701, and Northtec |
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| December 14, 2012 |
Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders 8-K 1 smartheat8k121412.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 11, 2012 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorpo |
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| November 29, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 23, 2012 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commission File Num |
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| November 29, 2012 |
EX-3.2 2 ex3ii-2.htm Exhibit 3(ii).2 Amended and Restated Bylaws of SmartHeat Inc., a Nevada Corporation ARTICLE I STOCKHOLDERS 1.01 Annual Meeting. An annual meeting of the stockholders of the corporation shall be held at 2:00 p.m., local time, on the third Thursday of May, in each year, commencing after the first anniversary of incorporation, but if such date is a Saturday, Sunday or legal holid |
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| November 21, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 smartheat10q093012.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2012 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEAT INC. (Exac |
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| November 15, 2012 |
NT 10-Q 1 smartheat-nt10q093012.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 001-34246 CUSIP NUMBER: 83172F203 (Check One): o Form 10-K o Form 20-F o Form 11-K x Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: September 30, 2012 o Transition Report on Form 10-K o Transition Report on Form 20-F |
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| November 9, 2012 |
DEFA14A 1 smartheat-defa14a110912.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as |
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| November 7, 2012 |
SC 13D 1 mcgrath-sc13d.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 SMARTHEAT, INC. (Name of Issuer) Common Stock, par value $.001 (Title of Class of Securities) 83172F203 (CUSIP Number) William J & Mary Ann P McGrath Foundation Robert Newman, Esq. c/o William J. McGrath, Trustee 65 West Jackson Blvd. #128 Chicag |
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| October 26, 2012 |
DEFA14A 1 smartheat-defa14a102512.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as |
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| October 26, 2012 |
SMARTHEAT INC. 1802 North Carson Street, Suite 212 Carson City, Nevada 89701 October 25, 2012 VIA EDGAR John Cash Account Branch Chief Division of Corporation Finance Mail Stop 3720 U.S. Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Re: SmartHeat Inc. Form 10-Q for the Fiscal Quarter Ended June 30, 2012 Filed August 20, 2012 File No. 1-34246 Dear Mr. Cash: This letter |
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| October 26, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Defin |
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| October 15, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: þ Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| September 6, 2012 |
CORRESP 1 filename1.htm SMARTHEAT INC. 1802 North Carson Street, Suite 212 Carson City, Nevada 89701 September 6, 2012 VIA EDGAR John Cash Account Branch Chief Division of Corporation Finance Mail Stop 3720 U.S. Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Re: SmartHeat Inc. Form 10-K for the Fiscal Year Ended December 31, 2011 Filed April 2, 2012 File No. 1-34246 De |
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| August 28, 2012 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 23, 2012 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commission File Numbe |
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| August 20, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2012 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEAT INC. (Exact name of registrant as specified i |
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| August 14, 2012 |
NT 10-Q 1 smartheat-nt10q063012.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 001-34246 CUSIP NUMBER: 83172F203 (Check One): o Form 10-K o Form 20-F o Form 11-K x Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: June 30, 2012 o Transition Report on Form 10-K o Transition Report on Form 20-F o Tr |
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| August 7, 2012 |
CORRESP 1 filename1.htm SMARTHEAT INC. 1802 North Carson Street, Suite 212 Carson City, Nevada 89701 August 7, 2012 VIA EDGAR John Cash Accounting Branch Chief Division of Corporation Finance Mail Stop 4631 U.S. Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Re: SmartHeat Inc. Form 10-K for the Fiscal Year Ended December 31, 2011 Filed April 2, 2012 File No. 1-34246 De |
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| August 1, 2012 |
Exhibit 10.12 CREDIT AND SECURITY AGREEMENT BY AND BETWEEN SMARTHEAT INC. AND NORTHTECH HOLDINGS INC. July 27, 2012 TABLE OF CONTENTS Page ARTICLE 1. DEFINITIONS 1 1.1 Definitions 1 1.2 Other Definitional Terms; Rules of Interpretation 4 ARTICLE 2. AMOUNT AND TERMS OF THE CREDIT FACILITY 5 2.1 Advances 5 2.2 Procedures for Requesting Advances 5 2.3 Term of Credit Facility 5 2.4 Interest 6 2.5 Fees |
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| August 1, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 27, 2012 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commission File Number) |
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| July 11, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 10, 2012 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commission File Number) |
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| July 11, 2012 |
SmartHeat Announces Appointment of Chief Financial Officer, Audit Committee Chairman EX-99.1 2 ex99-1.htm Exhibit 99.1 SmartHeat Announces Appointment of Chief Financial Officer, Audit Committee Chairman July 11, 2012, SmartHeat Inc., (NASDAQ: HEAT; website: www.smartheatinc.com), announced today that its Board of Directors has appointed Michael Wilhelm as SmartHeat’s Chief Financial Officer and Kenneth Scipta as an independent director of the company, who will also serve on the c |
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| June 19, 2012 |
CORRESP 1 filename1.htm SMARTHEAT INC. 1802 North Carson Street, Suite 212 Carson City, Nevada 89701 June 19, 2012 VIA EDGAR John Cash Accounting Branch Chief Division of Corporation Finance Mail Stop 3720 U.S. Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Re: SmartHeat Inc. Form 10-K for the Fiscal Year Ended December 31, 2011 Filed April 2, 2012 Form 10-Q for the Fi |
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| May 30, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 25, 2012 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commission File Number) |
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| May 30, 2012 |
Exhibit 99.1 SmartHeat Announces Management and Board Restructuring; Retention of Nimbus Restructuring Manager and Appointment of Oliver Bialowons as President May 30, 2012, SmartHeat Inc., (NASDAQ: HEAT; website: www.smartheatinc.com), today announced the resignations of Mr. James Jun Wang, Chairman of the Board of Directors (Board), President and CEO, Mr. Wen Sha, Vice President of Marketing, Mr |
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| May 15, 2012 |
SMARTHEAT INC. AND SUBSIDIARIES CONSOLIDATED BALANCE SHEETS EX-99.1 2 ex99-1.htm Exhibit 99.1 SmartHeat Inc. Announces First Quarter 2012 Financial Results NEW YORK, May 15, 2012 /PRNewswire-Asia/ - SmartHeat Inc. (NASDAQ: HEAT; website: www.smartheatinc.com), a market leader in China's clean technology, energy savings industry, today announced financial results for the quarter ended March 31, 2012. Financial Summary Net sales in the three months ended Mar |
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| May 15, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2012 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commission File Number) |
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| May 15, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2012 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEAT INC. (Exact name of registrant as specified |
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| April 13, 2012 |
SMARTHEAT INC. A-1, 10, Street 7 Shenyang Economic and Technological Development Zone Shenyang, China 110141 (86) 24-2519-7699 April 13, 2012 VIA EDGAR John Cash Accounting Branch Chief Division of Corporation Finance Mail Stop 3720 U.S. Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Re: SmartHeat Inc. Form 10-K for the Fiscal Year Ended December 31, 2010 Filed March 1 |
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| April 13, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Amendment No. 2) 10-Q/A 1 smartheat10qa063011.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Amendment No. 2) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2011 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMAR |
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| April 13, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Amendment No. 1) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Amendment No. 1) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2011 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEAT INC. (Exact name of re |
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| April 13, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No.2) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No.2) (Mark One) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2010 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34 |
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| April 13, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Amendment No. 1) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Amendment No. 1) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2011 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-34246 SMARTHEAT INC. (Exact name of regist |
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| April 2, 2012 |
SMARTHEAT INC. AND SUBSIDIARIES CONSOLIDATED BALANCE SHEETS EX-99.1 2 ex99-1.htm Exhibit 99.1 SmartHeat Inc. Announces Financial Results for 2011 NEW YORK, April 2, 2012 /PRNewswire-Asia/ - SmartHeat Inc. (NASDAQ: HEAT; website: www.smartheatinc.com), a market leader in China's clean technology, energy savings industry, today announced financial results for the fiscal year ended December 31, 2011. Mr. James Jun Wang, Chairman and Chief Executive Officer of |
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| April 2, 2012 |
Subsidiaries of the Registrant Exhibit 21.1 SmartHeat Inc. and subsidiaries as of December 31, 2011 Subsidiary Name Jurisdiction of Incorporation Percentage Owned SmartHeat Taiyu (Shenyang) Energy Technology Co., Ltd. People?s Republic of China 100% * SmartHeat (Shenyang) Heat Pump Technology Co., Ltd. People?s Republic of China 95% (1) SanDeKe Co., Ltd. People?s Republic of China 100% SmartHeat Siping Beifang Energy Technology |
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| April 2, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2011 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34246 SMARTHEAT INC. |
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| April 2, 2012 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 smartheat8k040212.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 2, 2012 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporati |
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| April 2, 2012 |
NT 10-K 1 smartheat-nt10k123111.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 001-34246 CUSIP NUMBER: 83172F203 (Check One): x Form 10-K o Form 20-F o Form 11-K o Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: December 31, 2011 o Transition Report on Form 10-K o Transition Report on Form 20-F |
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| March 16, 2012 |
SMARTHEAT INC. A-1, 10, Street 7 Shenyang Economic and Technological Development Zone Shenyang, China 110141 (86) 24-2519-7699 March 16, 2012 VIA EDGAR John Cash Accounting Branch Chief Division of Corporation Finance Mail Stop 3720 U.S. Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Re: SmartHeat Inc. Form 10-K for the Fiscal Year Ended December 31, 2010 Filed March 1 |
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| February 3, 2012 |
CORRESP 1 filename1.htm SMARTHEAT INC. A-1, 10, Street 7 Shenyang Economic and Technological Development Zone Shenyang, China 110141 (86) 24-2519-7699 February 3, 2012 VIA EDGAR John Cash Accounting Branch Chief Division of Corporation Finance Mail Stop 3720 U.S. Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Re: SmartHeat Inc. Form 10-K for the Fiscal Year Ended Decem |
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| February 2, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 17, 2012 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) ( |
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| January 20, 2012 |
8-K 1 smartheat8k011912.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 17, 2012 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorpor |
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| January 20, 2012 |
Exhibit 3.3 ROSS MILLER Secretary of State 204 North Carson Street, Suite 1 Carson City, Nevada 89701-4520 (775) 684-5708 Website: www.nvsos.gov Certificate of Amendment (PURSUANT TO NRS 78.385 AND 78.390) USE BLACK INK ONLY - DO NOT HIGHLIGHT ABOVE SPACE IS FOR OFFICE USE ONLY Certificate of Amendment to Articles of Incorporation For Nevada Profit Corporations (Pursuant to NRS 78.385 and 78.390 - |
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| December 14, 2011 |
SMARTHEAT INC. A-1, 10, Street 7 Shenyang Economic and Technological Development Zone Shenyang, China 110141 (86) 24-2519-7699 December 14, 2011 VIA EDGAR John Cash Accounting Branch Chief Division of Corporation Finance Mail Stop 3720 U.S. Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Re: SmartHeat Inc. Form 10-K for the Fiscal Year Ended December 31, 2010 Filed Marc |
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| December 9, 2011 |
CORRESP 1 filename1.htm SMARTHEAT INC. A-1, 10, Street 7 Shenyang Economic and Technological Development Zone Shenyang, China 110141 (86) 24-2519-7699 December 9, 2011 VIA EDGAR John Cash Accounting Branch Chief Division of Corporation Finance Mail Stop 4631 U.S. Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Re: SmartHeat Inc. Form 10-K for the Fiscal Year Ended Decem |
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| November 29, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy State |
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| November 29, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Definitive Proxy State |
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| November 8, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2011 SMARTHEAT INC. (Exact name of registrant as specified in its charter) Nevada 001-34246 98-0514768 (State or other Jurisdiction of Incorporation) (Commission File Numb |
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| November 8, 2011 |
SMARTHEAT INC. AND SUBSIDIARIES CONSOLIDATED BALANCE SHEETS Exhibit 99.1 SmartHeat Inc. Announces Third Quarter 2011 Financial Results, is Well Positioned for Future, Investor Conference Call at 8:30 a.m. EST on November 8, 2011 NEW YORK, November 8, 2011 /PRNewswire-Asia/ - SmartHeat Inc. (NASDAQ: HEAT; website: www.smartheatinc.com), a market leader in China's clean technology, energy savings industry, today announced financial results for the third quar |
