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As Of Filer Filing For·On·As Docs:Size Issuer Agent 11/29/18 Broad-Ocean Motor (Hong Kong… Ltd SC 13G/A 1:90K Ballard Power Systems Inc. Broadridge Fin’l So… Inc Zhongshan Broad-Ocean Motor Co., Ltd. |
Document/Exhibit Description Pages Size 1: SC 13G/A Amendment to Statement of Beneficial Ownership HTML 54K
1
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NAMES OF REPORTING PERSONS
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Broad-Ocean Motor (Hong Kong) Co. Limited
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a)☐
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(b)☐
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Hong Kong
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH:
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5
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SOLE VOTING POWER
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0
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6
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SHARED VOTING POWER
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22,949,947
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7
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SOLE DISPOSITIVE POWER
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0
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8
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SHARED DISPOSITIVE POWER
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22,949,947
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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9.9%
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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☐
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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9.9%*
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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FI
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1
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NAMES OF REPORTING PERSONS
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Zhongshan Broad-Ocean Motor Co., Ltd.
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a)☐
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(b)☐
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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China
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH:
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5
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SOLE VOTING POWER
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0
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6
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SHARED VOTING POWER
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22,949,947
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7
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SOLE DISPOSITIVE POWER
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0
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8
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SHARED DISPOSITIVE POWER
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22,949,947
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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9.9%
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||||
10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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☐
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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9.9%*
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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FI
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(a)
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☐
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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
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(b)
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☐
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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
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(c)
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Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
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(d)
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Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).
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(e)
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☐
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An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
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(f)
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☐
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An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
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(g)
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☐
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A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
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(h)
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☐
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A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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☐
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A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C.
80a-3);
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(j)
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☐
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A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J).
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(k)
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☐
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A group, in accordance with § 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify
the type of institution:
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Broad-Ocean Motor (Hong Kong) Co. Limited
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22,949,947 shares
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Zhongshan Broad-Ocean Motor Co., Ltd.
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22,949,947 shares
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Broad-Ocean Motor (Hong Kong) Co. Limited
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0 shares
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Zhongshan Broad-Ocean Motor Co., Ltd.
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0 shares
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Broad-Ocean Motor (Hong Kong) Co. Limited
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22,949,947 shares
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Zhongshan Broad-Ocean Motor Co., Ltd.
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22,949,947 shares
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Broad-Ocean Motor (Hong Kong) Co. Limited
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0 shares
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Zhongshan Broad-Ocean Motor Co., Ltd.
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0 shares
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Broad-Ocean Motor (Hong Kong) Co. Limited
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22,949,947 shares
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Zhongshan Broad-Ocean Motor Co., Ltd.
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22,949,947 shares
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Dated: November 29, 2018
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Broad-Ocean Motor (Hong Kong) Co. Limited
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By: |
/s/ LU Chuping
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Name: | |||
Title: |
Director
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Zhongshan Broad-Ocean Motor Co., Ltd.
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By: |
/s/ LU Chuping
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Name: | |||
Title: |
Chairman of the Board of Directors
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Exhibit
Number
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Title
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99.1
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Joint Filing Agreement, dated as of August 4, 2016, as required by Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended (previously filed with the Original Schedule 13G filed on August 5, 2016 and incorporated herein by reference).
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This ‘SC 13G/A’ Filing | Date | Other Filings | ||
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Filed on: | 11/29/18 | |||
11/13/18 | 6-K | |||
8/5/16 | SC 13G | |||
8/4/16 | ||||
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