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Form 144 China Xiangtai Food Co., Filed by: Dai Zeshu

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September 22, 2021 5:26 PM EDT

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 144

NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933

 OMB APPROVAL

OMB Number:    3235-0101

Expires:         July 31, 2023

Estimated average burden

hours per response      1.0

SEC USE ONLY
DOCUMENT SEQUENCE NO.
ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a  broker to  execute sale  or executing a sale directly with a market maker. CUSIP NUMBER

1 (a) NAME OF ISSUER (Please type or print)

 

China Xiangtai Food Co., Ltd.

b) IRS IDENT. NO.

 

N/A

(c) S.E.C. FILE NO.

 

001-38857

 WORK LOCATION

1 (d) ADDRESS OF ISSUER

 

c/o Chongqing Penglin Food Co., Ltd. Xinganxian Plaza Building B, Suite 19-1 Lianglukou, Yuzhong District

 STREET

CITY

 

Chongqing

    

STATE

 

P.R. China

  

ZIP CODE

 

400800

 (e) TELEPHONE NO.

AREA CODE

86

NUMBER

023-86330158

2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD

Zeshu Dai

(b) RELATIONSHIP TO ISSUER

CEO and Chairman of the Board

(c) ADDRESS STREET

c/o Chongqing Penglin Food
Co., Ltd. Xinganxian Plaza
Building B, Suite 19-1
Lianglukou, Yuzhong District

  

CITY

Chongqing

 

 

 

STATE

P.R. China

ZIP CODE

400800

 

 

 

INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.

 

3 (a)

Title of the
Class of
Securities
To Be Sold

(b)

 

Name and Address of Each Broker Through Whom the
Securities are to be Offered or Each Market Maker
who is Acquiring the Securities

 SEC USE ONLY

(c)

Number of Shares
or Other Units

To Be Sold

(See instr. 3(c))

(d)

Aggregate
Market
Value

(See instr. 3(d))

(e)

Number of Shares
or Other Units
Outstanding

(See instr. 3(e))

(f)

Approximate
Date of Sale

(See instr. 3(f))

(MO. DAY YR.)

(g)

Name of Each
Securities
Exchange

(See instr. 3(g))

 

Broker-Dealer
File Number

Ordinary Shares

Name: Luk Fook Securities (HK) Limited

Address: Units 2201-2207 & 2213-2214, 22/F, Cosco Tower
183 Queen’s Road Central, Hong Kong

 
 

  

290,000

$290,000

40,716,642

09/22/2021

Nasdaq

               
               

 

INSTRUCTIONS:
1.  (a) Name of issuer 3.  (a) Title of the class of securities to be sold
(b) Issuer’s I.R.S. Identification Number (b) Name and address of each broker through whom the securities are intended to be sold
(c) Issuer’s S.E.C. file number, if any (c) Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
(d) Issuer’s address, including zip code (d)

Aggregate market value of the securities to be sold as of a specified date within 10 days prior to filing of this notice

(e) Issuer’s telephone number, including area code (e) Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer
    (f) Approximate date on which the securities are to be sold
2.  (a) Name of person for whose account the securities are to be sold (g) Name of each securities exchange, if any, on which the securities are intended to be sold
(b) Such person’s relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing)    
(c) Such person’s address, including zip code    

 

Potential persons who are to respond to the collection of information contained in this form are not  
required to respond unless the form displays a currently valid OMB control number. SEC 1147 (02-08)

 

 

 

 

TABLE I –– SECURITIES TO BE SOLD

Furnish the following information with respect to the acquisition of the securities to be sold

and with respect to the payment of all or any part of the purchase price or other consideration therefor:

 

Title of
the Class		 Date you
Acquired		 Nature of Acquisition Transaction

Name of Person from Whom Acquired

(If gift, also give date donor acquired)

 Amount of
Securities Acquired		 Date of
Payment		 Nature of Payment

Ordinary Shares

 

 

3/15/2021

 

 

Gift

 

 

 

 

 

 

 

N/A

 

290,000 

 

3/15/2021

 

 

N/A

 

 

 

INSTRUCTIONS:If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

 

TABLE II –– SECURITIES SOLD DURING THE PAST 3 MONTHS

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

 

Name and Address of Seller Title of Securities Sold Date of Sale Amount of
Securities Sold		 Gross Proceeds

N/A

 

 

 

 

 

 

 N/A N/A N/A N/A

 

REMARKS:

 

 

INSTRUCTIONS:

See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

 ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

 

  9/22/2021  

/s/ Zeshu Dai

  DATE OF NOTICE   (SIGNATURE)
    The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures.
  DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION,
IF  RELYING ON RULE 10B5-1

 

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

SEC 1147 (02-08)

 

 


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