UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K |
REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 or 15d-16 UNDER THE
SECURITIES EXCHANGE ACT OF 1934
For the month of March 2019
Commission file number: 001-34958
DUNXIN FINANCIAL HOLDINGS LIMITED |
23rd Floor, Lianfa International Building
128 Xudong Road, Wuchang District
Wuhan City, Hubei Province, 430000
People’s Republic of China
(Address of Principal Executive Offices)
Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F.
Form 20-F x Form 40-F ¨
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulations S-T Rule 101(b)(1): ¨
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulations S-T Rule 101(b)(7): ¨
INFORMATION CONTAINED IN THIS FORM 6-K REPORT
Grant of Restricted Stock Units Awards
On February 22, 2019, the Board of Directors (the “Board”) of Dunxin Financial Holdings Limited (the “Company”) approved the grant of restricted stock units (“RSU”) under the Company’s 2010 Equity Incentive Plan to the following independent directors and executive officers in the amounts and the vesting schedule indicated below (“Grant”):
Name | Title | Number of RSU | Vesting Schedule |
H. David Sherman | Independent Director | 240,000 | 60,000 – 03/31/2019 60,000 – 06/30/201960,000 – 09/30/2019 60,000 - 12/31/2019 |
Michael Viotto | Independent Director | 240,000 | 60,000 – 03/31/2019 60,000 – 06/30/201960,000 – 09/30/2019 60,000 - 12/31/2019 |
Duoguang Bei | Independent Director | 240,000 | 60,000 – 03/31/2019 60,000 – 06/30/201960,000 – 09/30/2019 60,000 - 12/31/2019 |
Chee Jiong Ng | Chief Financial Officer | 357,010 | 89,253 – 03/31/2019 89,253 – 06/30/201989,253 – 09/30/2019 89,251 - 12/31/2019 |
Each RSU represents the right to receive one ordinary shares of the Company upon vesting.
As of the date of this Form 6-K report, no RSUs have vested under this Grant. The form of Restricted Stock Unit Award Agreement is attached as Exhibit 10.1 and is incorporated by reference to this Form 6-K.
The securities referenced above were offered and sold pursuant to an exemption from registration under Section 4(a)(2) of the Securities Act of 1933, as amended (“Securities Act”), and/or Regulation S promulgated under the Securities Act.
EXHIBIT INDEX
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| Dunxin Financial Holdings Limited | |
| | | |
Date: March 5, 2019 | By: | /s/ Ricky Qizhi Wei | |
| Name: | Ricky Qizhi Wei | |
| Title: | Chairman and Chief Executive Officer | |
