Lithium & Boron Technology (LBTI) Form 3 SMARTHEAT / Mao Zhang ownership change

SEC Form 3

FORM 3

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

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Zhang Mao

(Last) (First) (Middle)

60 EAST REN-MIN ROAD

DA-CHAI-DAN TOWN

(Street)

XAIXI COUNTY,QING HAI PROVINCE F4 813300

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
02/04/2019

3. Issuer Name and Ticker or Trading Symbol
SMARTHEAT INC. [ HEAT ]

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

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

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock, par value $.001 per share(1)(3)	32,441,543	I	Voting Proxy
Common Stock, par value $.001 per share(2)(4)	83,836,959	D

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

Explanation of Responses:

1. Proxy terminates upon issuance of 80,625,099 shares to Mr. Zhang by the company.

2. Shares will be issued after increase of authorized shares of the company to 500,000,000.

3. Includes 1,230,427 shares held by Mr. Zhang's spouse.

4. Includes 3,211,860 shares held by Mr. Zhang's spouse.

	/s/ Mao Zheng by /s/ Robert Newman Attorney in Fact for Mao Zhang	02/05/2019
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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