China XD Plastics Co Ltd Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 14 rows, 14 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-05-12: Reporting owner Faith Abundant Ltd; Form 4; Security Series B Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2021-05-12: Reporting owner Faith Dawn Ltd; Form 4; Security Series B Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2020-09-01: Reporting owner Han Jie; Form 4; Security Series B Preferred Shares, par value $0.0001; Transaction Holding.
- 2020-06-23: Reporting owner Faith Dawn Ltd; Form 3; Security Series B Preferred Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-05-12 | Faith Abundant Ltd 10% Owner | 4 | Series B Preferred Stock Non-derivative · Indirect · See footnote | J Other acquisition or disposition (describe transaction) | −0 0 owned after | $0.00 | 2021-05-12 | |
| 2021-05-12 | Faith Dawn Ltd 10% Owner | 4 | Series B Preferred Stock Non-derivative · Indirect · See footnote | J Other acquisition or disposition (describe transaction) | −0 0 owned after | $0.00 | 2021-05-12 | |
| 2020-09-01 holding as of filing | Han Jie Director, Officer (Chief Executive Officer), 10% Owner | 4 | Series B Preferred Shares, par value $0.0001 Non-derivative · Indirect · Through 100% ownership of XD. Engineering | Holding | 1,000,000 owned after | no price filed | 2020-09-01 | |
| 2020-06-23 holding as of filing | Faith Dawn Ltd 10% Owner | 3 | Series B Preferred Stock Non-derivative · Indirect · See footnote | Holding | 1,000,000 owned after | no price filed | 2020-06-23 | |
| 2020-06-23 holding as of filing | Faith Abundant Ltd 10% Owner | 3 | Series B Preferred Stock Non-derivative · Indirect · See footnote | Holding | 1,000,000 owned after | no price filed | 2020-06-23 | |
| 2020-05-29 holding as of filing | XD Engineering Plastics Co Ltd 10% Owner | 4 | Series B Preferred Shares, par value $0.0001 Non-derivative · Direct | Holding | 1,000,000 owned after | no price filed | 2020-05-29 | |
| 2019-12-12 holding as of filing | Han Jie Director, Officer (Chief Executive Officer), 10% Owner | 4 | Series B Preferred Shares, par value $0.0001 Non-derivative · Indirect · (m) | Holding | 1,000,000 owned after | no price filed | 2019-12-12 | |
| 2019-09-30 | North Haven Private Equity Asia III, L.P. | North Haven Private Equity Asia Employee Investors III, L.P. | MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C. | MORGAN STANLEY | MSPEA MODIFIED PLASTICS HOLDING LTD | MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. | MS HOLDINGS INC | MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD | | | | | | | | 4 | Series D Jr. Convertible Preferred Stock, par value $0.0001 Derivative · Indirect · See Footnotes | C Conversion of derivative security | −16,000,000 0 owned after | $6.25 | 2019-10-09 | |
| 2014-01-24 | MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III LP | MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD | North Haven Private Equity Asia III, L.P. | MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C. | MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. | MORGAN STANLEY | MS HOLDINGS INC | MSPEA MODIFIED PLASTICS HOLDING LTD Director | Director | Director | Director | Director | Director | Director | Director | 4 | Series D Jr. Convertible Preferred Stock, par value $0.0001 Derivative · Indirect · See Footnotes | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −16,000,000 0 owned after | $6.25 exercise price | 2017-02-17 | |
| 2014-01-24 | MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III LP | MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD | North Haven Private Equity Asia III, L.P. | MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C. | MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. | MORGAN STANLEY | MS HOLDINGS INC | MSPEA MODIFIED PLASTICS HOLDING LTD Director | Director | Director | Director | Director | Director | Director | Director | 4 | Series D Jr. Convertible Preferred Stock, par value $0.0001 Derivative · Indirect · See Footnotes | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,000,000 16,000,000 owned after | $6.25 exercise price | 2017-02-17 | |
| 2011-09-28 | MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. | MORGAN STANLEY PRIVATE EQUITY ASIA III LP | MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD | MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III LP | MORGAN STANLEY | MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C. | MS HOLDINGS INC | MSPEA MODIFIED PLASTICS HOLDING LTD Director | Director | Director | Director | Director | Director | Director | Director | 4 | Series D Jr. Convertible Preferred Stock, par value $0.0001 Derivative · Indirect · See Footnotes | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,000,000 16,000,000 owned after | $6.25 | 2011-09-30 | |
| 2011-07-05 | Han Jie Director, Officer (Chief Executive Officer), 10% Owner | 4 | Series B Preferred Stock of par value US$0.0001 Non-derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,000,000 33,510,131 owned after | no price filed | 2011-07-07 | |
| 2010-01-26 holding as of filing | XD Engineering Plastics Co Ltd 10% Owner | 3/A | Series B Preferred Non-derivative · Direct | Holding | 1,000,000 owned after | no price filed | 2010-01-26 | |
| 2009-05-14 | XD Engineering Plastics Co Ltd 10% Owner | 4 | Series A Convertible Preferred Derivative · Direct | C Conversion of derivative security | −1,000,000 0 owned after | no price filed | 2010-01-26 |