13D Filing: Sinotruk (BVI) Ltd and UQM Technologies Inc (UQM)

Page 3 of 7 – SEC Filing

 

       

CUSIP No. 903213106

 

1

NAMES
OF REPORTING PERSON, I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

China
National Heavy Duty Truck Group Co. Ltd.  

2

CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 

(a)

(b) ☒

3

SEC
USE ONLY

 

4

SOURCE
OF FUNDS (SEE INSTRUCTIONS)

 

WC 

5

CHECK
IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)

6

CITIZENSHIP
OR PLACE OF ORGANIZATION

 

People’s
Republic of China
 

NUMBER
OF 

SHARES 

BENEFICIALLY 

OWNED
BY 

EACH 

REPORTING 

PERSON 

WITH

 

7

SOLE
VOTING POWER

 

None 

8

SHARED
VOTING POWER

 

5,347,300 

9

SOLE
DISPOSITIVE POWER

 

None 

10

SHARED
DISPOSITIVE POWER

 

5,347,300 

11

AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

5,347,300 

12

CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)

13

PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

9.90%
(1)
 

14

TYPE
OF REPORTING PERSON (SEE INSTRUCTIONS)

 

HC 

 

(1)   Based on (i) 5,347,300 shares of common stock of the Issuer beneficially owned by the Reporting Persons, and (ii) 54,013,224 shares
of common stock of the Issuer outstanding. The number of shares of common stock of the Issuer outstanding is derived from the
Stock Purchase Agreement dated as of August 25, 2017 among the Issuer, Sinotruk (BVI) Limited and China National Heavy Duty Truck
Group Co., Ltd., pursuant to which Sinotruk (BVI) Limited purchased the 5,347,300 shares of common stock of the Issuer whose acquisition
is the subject of this statement on Schedule 13D. A copy of the Stock Purchase Agreement is attached to this statement on Schedule
13D as Exhibit 1. In the Stock Purchase Agreement, the Issuer represented that, prior to the issuance of the 5,347,300 shares
being newly issued and sold to Sinotruk (BVI) Limited pursuant to that agreement, the Issuer had 48,665,924 shares of common stock
outstanding. The closing on the purchase of the 5,347,300 shares occurred on September 25, 2017.

 

3

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