Current Report Filing (8-k)
11 9월 2021 - 6:05AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
DC 20549
FORM
8-K
CURRENT
REPORT
Pursuant
to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date
of Report (Date of earliest event reported): September 7, 2021
CHINA
XD PLASTICS COMPANY LIMITED
(Exact
name of registrant as specified in its charter)
Nevada
|
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001-34546
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04-3836208
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(State
or other jurisdiction
of incorporation)
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|
(Commission
File Number)
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(IRS
Employer
Identification No.)
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No.
9 Dalian North Road, Haping Road Centralized Industrial Park,
Harbin
Development Zone, Heilongjiang Province, the PRC
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150060
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(Address
of principal executive offices)
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|
(Zip
Code)
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(86)
451-8434-6600
(Registrant’s
Telephone Number, Including Area Code)
Not
applicable
(Former
name or former address, if changed since last report)
Check
the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under
any of the following provisions:
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☐
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Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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☐
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Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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☐
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Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities
registered pursuant to Section 12(b) of the Act:
Title
of each class
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Trading
Symbol(s)
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Name
of each exchange on which registered
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Common
Stock
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CXDC
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Nasdaq
Global Market
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Indicate
by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405
of this chapter) or Rule 12b–2 of the Securities Exchange Act of 1934 (§ 240.12b–2 of this chapter).
Emerging
growth company ☐
If
an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying
with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
ITEM
3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.
On
September 7, 2021, China XD Plastic Company Limited (the “Company”) received a letter (the “Letter”) from the
Listing Qualifications Department of the Nasdaq Stock Market (“Nasdaq”) indicating that Nasdaq’s staff (the “Staff”)
has determined to deny the Company’s request for continued listing on Nasdaq.
The
Letter states that the Staff has notified the Company on April 16, 2021 that it did not comply with Nasdaq’s filing requirements
for continued inclusion set forth in Listing Rule 5250(c)(1) (the “Rule”) because it had not filed its Form 10-K for the
fiscal year ended December 31, 2020 and notified the Company through subsequent additional delinquency notifications for failing to file
its Forms 10-Q for the periods ended March 31, 2021 and June 30, 2021. The Company submitted materials to Nasdaq relating to its plan
to regain compliance (the “Submission”). Based on the Staff’s review and the Submission, in addition to a telephone
discussion on July 26, 2021, the Staff has determined that the Company did not provide a definitive plan evidencing its ability to achieve
compliance with the Rule.
Unless
the Company requests an appeal of this determination pursuant to the procedures set forth in the Nasdaq Listing Rule 5800 Series, trading
of the Company’s common stock will be suspended at the opening of business on September 16, 2021, and a Form 25-NSE will be filed
with the Securities and Exchange Commission, which will remove the Company’s securities from listing and registration on The Nasdaq
Stock Market. The Company plans to request such an appeal and a hearing before a Nasdaq Hearings Panel no later than September 14,
2021 to seek an exception period in which to complete its filings and thereby regain compliance with listing standards.
On
September 10, 2021, the Company issued a press release announcing its receipt of the Letter. A copy of the press release is attached
as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated herein by reference.
ITEM
9.01 Financial Statements and Exhibits
(d)
Exhibits.
SIGNATURES
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 hereunto duly authorized.
Date:
September 10, 2021
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CHINA
XD PLASTICS COMPANY LIMITED
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By:
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/s/
Jie HAN
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Name:
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Jie
HAN
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Title:
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Chief
Executive Officer
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China XD Plastics (NASDAQ:CXDC)
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