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| CIK | 1750264 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Highest Performances Holdings Inc. - Depositary Receipt (Common Stock)
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2025 Commission File Number 001-38813 Maase Inc. |
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| August 28, 2025 |
MAAS Announces Strategic Expansion into Healthcare and Wellness with Acquisition of Carve Group Ltd Exhibit 99.1 MAAS Announces Strategic Expansion into Healthcare and Wellness with Acquisition of Carve Group Ltd CHENGDU, China, August 28, 2025 (GLOBE NEWSWIRE) - Maase Inc. (NASDAQ: MAAS) (“MAAS” or the “Company”) today announced the successful completion of its strategic acquisition of 100% equity interests in Carve Group Ltd (the “Target Company” or the “Carve Group”). The transaction, previou |
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| August 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2025 Commission File Number 001-38813 Maase Inc. |
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| July 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of July 2025 Commission File Number 001-38813 Maase Inc. |
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| July 29, 2025 |
Exhibit 10.1 TRANSACTION AGREEMENT BY AND AMONG MAASE INC., GOLDEN BRIGHTER LIMITED, WJ MANAGEMENT LIMITED, UNION CHIEF LIMITED, CARVE GROUP LTD YUNSHANG MANAGEMENT COMPANY LIMITED SHENZHEN HILLSTAR MANAGEMENT CONSULTING CO., LTD. （深圳市希尔星管理咨询有限公司） ZHONGSHEN RESOURCES DEVELOPMENT(LIAONING) CO., LTD (中参资源开发(辽宁）有限公司), GLYKEN BIRD NEST TECHNOLOGY (SHENZHEN) CO., LTD. 可莱康燕窝科技(深圳)有限公司 AND THE OTHER PART |
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| July 18, 2025 |
Exhibit 10.1 TRANSACTION AGREEMENT BY AND AMONG Maase Inc., ACE LONG LIMITED, ARTS WING LIMITED, REAL PROSPECT LIMITED, AND THE OTHER PARTIES NAMED HEREIN DATED AS OF JULY 18, 2025 TABLE OF CONTENTS Page RECITALS Article 1 Definitions and Interpretation 2 Section 1.1. Definitions. 2 Section 1.2. Interpretation. 7 Article 2 Share Exchange 8 Section 2.1. Share Exchange. 8 Section 2.2. Closing. 8 Art |
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| July 18, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of July 2025 Commission File Number 001-38813 Maase Inc. |
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| July 3, 2025 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of July 3, 2025, between Maase Inc., a Cayman Islands Exempted Company (the “Company”), and investors as listed in the Exhibit I (the “Purchaser”). WHEREAS, subject to the terms and conditions set forth in this Agreement and pursuant to Section 4(a)(2) of the Securities Act of 1933, as amen |
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| July 3, 2025 |
MAAS Announces A Private Placement of Class A Ordinary Shares and Warrants Exhibit 99.1 MAAS Announces A Private Placement of Class A Ordinary Shares and Warrants CHENGDU, China, July 3, 2024 (GLOBE NEWSWIRE) - Maase Inc. (NASDAQ: MAAS) (“MAAS” or the “Company”), today announced the execution of a definitive share purchase agreement (the “Agreement”) with certain investors, pursuant to which the investors have agreed to subscribe for, and the Company has agreed to issue |
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| July 3, 2025 |
WARRANT TO PURCHASE COMMON STOCK MAASE INC. EX-4.1 2 ea024814101ex4-1maase.htm FORM OF WARRANT Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFE |
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| July 3, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of July 2025 Commission File Number 001-38813 Maase Inc. |
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| June 18, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of June 2025 Commission File Number 001-38813 Maase Inc. |
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| June 3, 2025 |
Filed pursuant to Rule 424(b)(3) Registration Statement on Form F-6 Registration No.: 333-229521 Filed pursuant to Rule 424(b)(3) Registration Statement on Form F-6 Registration No. |
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| June 3, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of June 2025 Commission File Number 001-38813 Maase Inc. |
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| May 20, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2025 Commission File Number 001-38813 Highest Performances Holdings Inc. |
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| May 20, 2025 |
Highest Performances Holdings Inc. Unaudited Condensed Consolidated Balance Sheets (in thousands) Exhibit 99.1 FINANCIAL HIGHLIGHTS FOR THE FIRST HALF OF THE FISCAL YEAR 2025 Six months ended December 31, 2023(RMB) 2024(RMB) 2024 (US$) Change (%) (In thousands, except per ADS data and percentages) Total net revenues 35,577 715,761 98,059 1911.9 % Loss from operations (27,420 ) (496,373 ) (68,003 ) 1710.3 % Gains from the disposal of subsidiaries - 896,085 122,763 N/A Net (loss) income attribut |
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| May 13, 2025 |
Exhibit 99.1 Highest Performances Holdings Inc. (Incorporated in the Cayman Islands with limited liability) (Nasdaq Ticker: MAAS) NOTICE OF EXTRAORDINARY GENERAL MEETING TO BE HELD ON JUNE 3, 2025 (or any adjourned or postponed meeting thereof) NOTICE IS HEREBY GIVEN that an extraordinary general meeting (“EGM”) of Highest Performances Holdings Inc. (the “Company”) will be held at 12F, Block B, Lo |
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| May 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2025 Commission File Number 001-38813 Highest Performances Holdings Inc. |
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| May 13, 2025 |
Exhibit 99.2 Highest Performances Holdings Inc. (incorporated in the Cayman Islands with limited liability) (Nasdaq Ticker: MAAS) FORM OF PROXY FOR THE EXTRAORDINARY GENERAL MEETING TO BE HELD ON JUNE 3, 2025 (or any adjourned or postponed meeting thereof) I/We, Please Print Name(s) of Please Print Address(es) being the registered holder of class ordinary shares1, par value US$0.001 per share in t |
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| May 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2025 Commission File Number 001-38813 Highest Performances Holdings Inc. |
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| May 8, 2025 |
SHARE PURCHASE AND SALE AGREEMENT Exhibit 10.1 SHARE PURCHASE AND SALE AGREEMENT This Purchase and Sale Agreement (this “Agreement”), dated as of May 8, 2025 (the “Signing Date”), is between Highest Performances Holdings Inc., a Cayman Islands exempted company (the “Seller”), and ***** (the “Purchaser”). WHEREAS, on the terms and conditions set forth in this Agreement, the Seller desires to sell, and the Purchaser desires to purch |
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| April 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of April 2025 Commission File Number 001-38813 Highest Performances Holdings Inc. |
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| April 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of April 2025 Commission File Number 001-38813 Highest Performances Holdings Inc. |
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| April 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of April 2025 Commission File Number 001-38813 Highest Performances Holdings Inc. |
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| April 3, 2025 |
As filed with the Securities and Exchange Commission on April 3, 2025 Registration No. |
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| April 3, 2025 |
AMENDMENT TO THE DEPOSIT AGREEMENT AMENDMENT TO THE DEPOSIT AGREEMENT THIS AMENDMENT dated as of April 3, 2025 (hereafter, the “Amendment”) is amending the Deposit Agreement, dated as of March 27, 2019 (the “Deposit Agreement”), by and among (i) Highest Performances Holdings Inc. |
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| April 1, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of April 2025 Commission File Number 001-38813 Highest Performances Holdings Inc. |
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| February 14, 2025 |
EX-1 2 ea023117501ex1highest.htm JOINT FILING AGREEMENT Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, each of the undersigned parties hereby agrees to file jointly the statement on Schedule 13G (including any amendments thereto) with respect to the Ordinary Shares, par value $0.001 per share, of Highest Performances Holdings Inc. It |
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| January 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of January 2025 Commission File Number 001-38813 Highest Performances Holdings Inc. |
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| January 23, 2025 |
Exhibit 16.1 January 23, 2025 U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-7561 Dear Sirs/Madams: We have read the Form 6-K of Highest Performances Holdings Inc. dated January 23, 2025, and have the following comments: 1. We agree with the statements made in the first and fourth sentences of paragraph 1 and in paragraphs 2, 3 and 4 of the section “Previous Inde |
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| January 23, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of January 2025 Commission File Number 001-38813 Highest Performances Holdings Inc. |
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| January 15, 2025 |
Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, each of the undersigned parties hereby agrees to file jointly the statement on Schedule 13D (including any amendments thereto) with respect to the Class A Ordinary Share, par value $0. |
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| January 15, 2025 |
Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, each of the undersigned parties hereby agrees to file jointly the statement on Schedule 13D (including any amendments thereto) with respect to the Class A Ordinary Share, par value $0. |
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| January 15, 2025 |
DIRECTORS AND EXECUTIVE OFFICERS OF EQUALITY EXHIBIT 2 DIRECTORS AND EXECUTIVE OFFICERS OF EQUALITY The name, business address, present principal employment and citizenship of the sole director of Equality are set forth below. |
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| January 15, 2025 |
DIRECTORS AND EXECUTIVE OFFICERS OF MOONLIT Exhibit 2 DIRECTORS AND EXECUTIVE OFFICERS OF MOONLIT The name, business address, present principal employment and citizenship of the sole director of Moonlit are set forth below. |
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| January 6, 2025 |
Exhibit 10.3 SHARE SUBSCRIPTION AGREEMENT THIS AGREEMENT is made on December 30, 2024 between the following parties: (1) Equality Group Ltd, a company duly incorporated and validly existing under the laws of the British Virigin Islands (the “Subscriber”); and (2) Highest Performances Holdings Inc., an exempt company with limited liability incorporated under the laws of Cayman Islands (Nasdaq: HPH) |
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| January 6, 2025 |
Exhibit 10.2 SHARE SUBSCRIPTION AGREEMENT THIS AGREEMENT is made on December 30, 2024 between the following parties: (1) Moonlit Group Ltd, a company duly incorporated and validly existing under the laws of the British Virigin Islands, (the “Subscriber”); and (2) Highest Performances Holdings Inc., an exempt company with limited liability incorporated under the laws of Cayman Islands (Nasdaq: HPH) |
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| January 6, 2025 |
Exhibit 2 DIRECTORS AND EXECUTIVE OFFICERS OF SEA SYNERGY LIMITED PERSONS CONTROLLING SEA SYNERGY LIMITED The name, business address, present principal employment and citizenship of the sole director of Sea Synergy Limited are set forth below. |
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| January 6, 2025 |
DIRECTORS AND EXECUTIVE OFFICERS OF HIGHEST PERFORMANCES HOLDINGS INC. Exhibit 1 DIRECTORS AND EXECUTIVE OFFICERS OF HIGHEST PERFORMANCES HOLDINGS INC. The business address of each of the following directors and executive officers is 61/F, Pearl River Tower, No. 15 West Zhujiang Road, Guangzhou, Guangdong 510623, People’s Republic of China. Name Citizenship Position Hang Suong Nguyen Vietnam Chairwoman of the Board Yinan Hu PRC Vice-Chairman of the Board and Chief Ex |
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| January 6, 2025 |
Exhibit 3 SHARE SUBSCRIPTION AGREEMENT THIS AGREEMENT is made on December 30, 2024 between the following parties: (1) Sea Synergy Limited, a company duly incorporated and validly existing under the laws of the British Virigin Islands (the "Subscriber"); and (2) Highest Performances Holdings Inc. |
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| January 6, 2025 |
Exhibit 10.1 SHARE SUBSCRIPTION AGREEMENT THIS AGREEMENT is made on December 30, 2024 between the following parties: (1) Sea Synergy Limited, a company duly incorporated and validly existing under the laws of the British Virigin Islands (the “Subscriber”); and (2) Highest Performances Holdings Inc., an exempt company with limited liability incorporated under the laws of Cayman Islands (Nasdaq: HPH |
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| January 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of January 2025 Commission File Number 001-38813 Highest Performances Holdings Inc. |
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| January 6, 2025 |
Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, each of the undersigned parties hereby agrees to file jointly the statement on Schedule 13D (including any amendments thereto) with respect to the Ordinary Shares, par value $0. |
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| November 26, 2024 |
HPH Announces Change to the Board of Directors Exhibit 99.1 HPH Announces Change to the Board of Directors GUANGZHOU, China, November 25, 2024 (GLOBE NEWSWIRE) - Highest Performances Holdings Inc. (NASDAQ: HPH) (“HPH” or the “Company”), today announced that Mr. Youjie Kong has decided to resign from the Board as director due to personal reasons, effective from November 25, 2024. The resignation of Mr. Kong did not result from any disagreement |
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| November 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2024 Commission File Number 001-38813 Highest Performances Holdings Inc. |
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| November 22, 2024 |
HPH Announces Receipt of Minimum Bid Price Notice from Nasdaq Exhibit 99.1 HPH Announces Receipt of Minimum Bid Price Notice from Nasdaq GUANGZHOU, China, November 22, 2024 (GLOBE NEWSWIRE) - Highest Performances Holdings Inc. (NASDAQ: HPH) (“HPH” or the “Company”), today announced that it has received written notification from the staff of the Listing Qualifications Department of the Nasdaq Stock Market LLC (“Nasdaq”), dated November 21, 2024, indicating th |
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| November 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2024 Commission File Number 001-38813 Highest Performances Holdings Inc. |
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| November 15, 2024 |
Exhibit 2.6 Description of Securities Registered under Section 12 of the Securities Exchange Act of 1934 (the “Exchange Act”) American Depositary Shares (“ADSs”), of which every two represent three ordinary shares of Highest Performances Holdings Inc. 华普集团有限公司 (“we,” “our,” “our company,” or “us”), are listed and traded on the Nasdaq Global Market and, in connection with this listing (but not for |
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| November 15, 2024 |
HIGHEST PERFORMANCES HOLDINGS INC. INSIDER TRADING POLICY Exhibit 11.2 HIGHEST PERFORMANCES HOLDINGS INC. INSIDER TRADING POLICY As set forth in this Policy (the “Policy”), Highest Performances Holdings Inc.. (the “Company”) has established rules for directors, officers, employees and consultants (including entities over which the individual has influence or control, including corporations, limited liability companies, partnerships or trusts) of the Comp |
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| November 15, 2024 |
Exhibit 13.1 Certification by the Chief Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 In connection with the Annual Report of Highest Performances Holdings Inc. (the “Company”) on Form 20-F for the fiscal year ended June 30, 2024 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Hu Yinan, Chief Executive Officer of the Company, |
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| November 15, 2024 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 15.5 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in Registration Statement No. 333-261063 on Form F-3 and Registration Statement No. 333-277814 on Form S-8 of our reports dated November 15, 2024, relating to the financial statements of Highest Performances Holdings Inc. and the effectiveness of Highest Performances Holdings Inc.’s i |
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| November 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 20-F ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For fiscal year ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 O |
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| November 15, 2024 |
Exhibit 15.3 November 15, 2024 To: Highest Performances Holdings Inc. 61/F, Pearl River Tower No.15 West Zhujiang Road Guangzhou,Guangdong 510623 People’s Republic of China Dear Sirs, We hereby consent to the reference to our firm under the headings, “Risk Factors”, “Regulation”and “Organizational Structure” related to Fanhua Inc. in Highest Performances Holdings Inc.’s Annual Report on Form 20-F |
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| November 15, 2024 |
Exhibit 15.1 November 15, 2024 Our Ref: MRC/BLUI/P3431-H19472 The Board of Directors Highest Performances Holdings Inc. 华普集团有限公司 61F, Pearl River Tower No. 15 Zhujiang West Road Zhujiang New Town Tianhe, Guangzhou Guangdong, China Dear Sir or Madam Highest Performances Holdings Inc. 华普集团有限公司 FORM 20-F We consent to the reference to our firm under the heading “Item 10.E. Additional Information – Ta |
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| November 15, 2024 |
Exhibit 12.2 Certification by the Chief Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Yang Yuanfen, certify that: 1. I have reviewed this annual report on Form 20-F of Highest Performances Holdings Inc. (the “Company”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make t |
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| November 15, 2024 |
Exhibit 4.33 THE SYMBOL “[*]” DENOTES PLACES WHERE CERTAIN IDENTIFIED INFORMATION HAS BEEN EXCLUDED FROM THE EXHIBIT BECAUSE IT IS BOTH (I) NOT MATERIAL, AND (II) IS THE TYPE THAT THE COMPANY TREATS AS PRIVATE OR CONFIDENTIAL. Share Transfer Agreement This Share Transfer Agreement (hereinafter referred to as “this Agreement”) is entered into between the following parties on December 22, 2023 in Ch |
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| November 15, 2024 |
Exhibit 4.34 THE SYMBOL “[*]” DENOTES PLACES WHERE CERTAIN IDENTIFIED INFORMATION HAS BEEN EXCLUDED FROM THE EXHIBIT BECAUSE IT IS BOTH (I) NOT MATERIAL, AND (II) IS THE TYPE THAT THE COMPANY TREATS AS PRIVATE OR CONFIDENTIAL. Singapore White Group Pte. Ltd. and Puyi Inc. (Nasdaq:PUYI) （To be Renamed as Huapu Inc. Nasdaq:HPH） Fanhua Inc. (Nasdaq:FANH) Formal Framework Agreement The parties to this |
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| November 15, 2024 |
Exhibit 13.2 Certification by the Chief Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 In connection with the Annual Report of Highest Performances Holdings Inc. (the “Company”) on Form 20-F for the year ended June 30, 2024 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Yang Yuanfen, Chief Financial Officer of the Company, ce |
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| November 15, 2024 |
Independent Registered Public Accounting Firm’s Consent Exhibit 15.4 Independent Registered Public Accounting Firm’s Consent We consent to the incorporation by reference in the Registration Statement of Highest Performances Holdings Inc. (formerly known as “Puyi Inc.”) on Form F-3 (FILE NO. 333-261063) and Form S-8 (FILE NO. 333-277814) of our report dated September 25, 2023, except for the effects of the revision discussed in Note 2(ad) as to which th |
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| November 15, 2024 |
Exhibit 97.1 HIGHEST PERFORMANCES HOLDINGS INC. POLICY ON RECOUPMENT OF INCENTIVE COMPENSATION As adopted by the Board of Directors, effective March 13, 2024 Introduction The Board of Directors (the “Board”) of Highest Performances Holdings Inc.(the “Company”) has adopted this Policy on Recoupment of Incentive Compensation (this “Policy”), which provides for the recoupment of compensation in certa |
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| November 15, 2024 |
Exhibit 15.2 10&11&29F,Chow Tai Fook Finance Centre,No.6 Zhujiang East Road, Tianhe District Guangzhou, Guangdong, China Date: November 15, 2024 To: Highest Performances Holdings Inc. 61/F, Pearl River Tower No.15 Zhujiang West Road Guangzhou, Guangdong 510623 People’s Republic of China Dear Sirs/Madams, We hereby consent to the reference to our firm under the headings “Item 3.Key Information-D. R |
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| November 15, 2024 |
Exhibit 12.1 Certification by the Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Hu Yinan, certify that: 1. I have reviewed this annual report on Form 20-F of Highest Performances Holdings Inc. (the “Company”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the s |
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| October 31, 2024 |
HPH Announces Results of its Extraordinary General Meeting and Separate Class Meeting Exhibit 99.1 HPH Announces Results of its Extraordinary General Meeting and Separate Class Meeting GUANGZHOU, China, Oct. 31, 2024 (GLOBE NEWSWIRE) - Highest Performances Holdings Inc. (NASDAQ: HPH) (“HPH” or the “Company”), today announced the results of its extraordinary general meeting of shareholders and separate class meeting of the holders of ordinary shares of the Company (the “Combined Mee |
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| October 31, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐ Form 10-K ☒ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: June 30, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q For the Transition Period |
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| October 31, 2024 |
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 October 2024 Commission file number: 001-38813 Highest Performances Holdings Inc. 61F, Pearl River Tower No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, Guangzhou Guangdong Province, Peop |
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| October 31, 2024 |
EX-3.1 2 ea021935401ex3-1highest.htm FOURTH AMENDED AND RESTATED MEMORANDUM AND ARTICLES OF ASSOCIATION OF THE REGISTRANT, EFFECTIVE ON OCTOBER 31, 2024 Exhibit 3.1 THE COMPANIES ACT (AS AMENDED) OF THE CAYMAN ISLANDS COMPANY LIMITED BY SHARES fOURTH amended AND restated Memorandum AND articles OF association of HIGHEST PERFORMANCES HOLDINGS INC. 华普集团有限公司 (aDOPTED by special resolution PASSED ON O |
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| October 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of October 2024 Commission File Number 001-38813 Highest Performances Holdings Inc. |
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| October 15, 2024 |
HPH Announces Change to the Board of Directors Exhibit 99.1 HPH Announces Change to the Board of Directors GUANGZHOU, China, October 15, 2024 (GLOBE NEWSWIRE) - The board of directors (the “Board”) of Highest Performances Holdings Inc. (NASDAQ: HPH) (“HPH” or the “Company”), today announces that the office of Mr. Peh Chin Hua as Director has been vacated, effective immediately. Following the foregoing changes, our board of directors consists o |
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| October 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Amendment No. |
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| October 9, 2024 |
CORRECTION - HPH Announces Changes to the Board of Directors Exhibit 99.1 CORRECTION - HPH Announces Changes to the Board of Directors GUANGZHOU, China, October 9, 2024 (GLOBE NEWSWIRE) - the board of directors (the “Board”) of Highest Performances Holdings Inc. (NASDAQ: HPH) (“HPH” or the “Company”), today announced a correction to its press release disseminated on October 1, 2024 which announced changes to the board of directors. The original statement re |
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| October 1, 2024 |
HPH Announces Changes to the Board of Directors Exhibit 99.1 HPH Announces Changes to the Board of Directors GUANGZHOU, China, October 1, 2024 (GLOBE NEWSWIRE) - the board of directors (the “Board”) of Highest Performances Holdings Inc. (NASDAQ: HPH) (“HPH” or the “Company”), today announced the appointment of Ms. Hang Suong Nguyen (“Ms. Nguyen”) as the new chairwoman of the Board, effective from September 30, 2024. Ms. Nguyen will succeed Mr. |
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| October 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of October 2024 Commission File Number 001-38813 Highest Performances Holdings Inc. |
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| September 30, 2024 |
Exhibit 99.3 Highest Performances Holdings Inc. (incorporated in the Cayman Islands with limited liability) FORM OF PROXY FOR THE EXTRAORDINARY GENERAL MEETING AND CLASS MEETING TO BE HELD ON OCTOBER 31, 2024 (OR ANY ADJOURNMENT OR POSTPONEMENT THEREOF) We, of , being the registered holder of ordinary shares, par value US$0.001 per share in the share capital of Highest Performances Holdings Inc. ( |
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| September 30, 2024 |
Exhibit 99.2 Highest Performances Holdings Inc. (incorporated in the Cayman Islands with limited liability) NOTICE OF EXTRAORDINARY GENERAL MEETING AND CLASS MEETING TO BE HELD ON OCTOBER 31, 2024 NOTICE IS HEREBY GIVEN that an extraordinary general meeting of Highest Performances Holdings Inc. (the “Company”) being a simultaneous combined class meeting of the holders of ordinary shares of the Com |
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| September 30, 2024 |
HPH to Hold Extraordinary General Meeting and Class Meeting On October 31, 2024 Exhibit 99.1 HPH to Hold Extraordinary General Meeting and Class Meeting On October 31, 2024 GUANGZHOU, China, September 30, 2024 (GLOBE NEWSWIRE) - Highest Performances Holdings Inc. (NASDAQ: HPH) (“HPH” or the “Company”), today announced it will hold an extraordinary general meeting (the “EGM”) of shareholders, being a simultaneous combined class meeting of the holders of ordinary shares of the |
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| September 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of September 2024 Commission File Number 001-38813 Highest Performances Holdings Inc. |
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| July 9, 2024 |
HPH Announce Participation in Investing in Tennis World Cup and F1 World Championship Sports Events Exhibit 99.1 HPH Announce Participation in Investing in Tennis World Cup and F1 World Championship Sports Events GUANGZHOU, China, July 9, 2024 (GLOBE NEWSWIRE) - Highest Performances Holdings Inc. (NASDAQ: HPH) (“HPH” or the “Company”), today announced collaboration with Singapore White Group Pte. Ltd. (“White Group”) in investing in several top-notch international sports events, including the fo |
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| July 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of July 2024 Commission File Number 001-38813 Highest Performances Holdings Inc. |
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| June 24, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of June 2024 Commission File Number 001-38813 Highest Performances Holdings Inc. |
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| June 24, 2024 |
Asset Allocation Portfolio of HPH’s Subsidiary Puyi Fund Exceeded RMB24 Billion Exhibit 99.1 Asset Allocation Portfolio of HPH’s Subsidiary Puyi Fund Exceeded RMB24 Billion GUANGZHOU, China, June 24, 2024 (GLOBE NEWSWIRE) - Highest Performances Holdings Inc. (NASDAQ: HPH) (“HPH” or the “Company”), today announced that the portfolio balance of the asset allocation services of its majority-owned subsidiary Fanhua Puyi Fund Distribution Co., Ltd., (“Puyi Fund”) has reached RMB24 |
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| May 30, 2024 |
Exhibit 99.1 HIGHEST PERFORMANCES HOLDINGS INC. ANNOUNCES UNAUDITED FINANCIAL RESULTS FOR THE FIRST HALF OF THE FISCAL YEAR 2024 GUANGZHOU, China, May 30, 2024 (GLOBE NEWSWIRE) - Highest Performances Holdings Inc. (NASDAQ: HPH) (“HPH” or the “Company”), today announced its unaudited financial results for the first half of its fiscal year 2024 from July 1, 2023 to December 31, 2023 (the “reporting |
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| May 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2024 Commission File Number 001-38813 Highest Performances Holdings Inc. |
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| May 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 1)* Under the Securities Exchange Act of 1934 FANHUA INC. (Name of Issuer) ORDINARY SHARES (Title of Class of Securities) G3314G 102 (CUSIP Number) HIGHEST PERFORMANCES HOLDINGS INC c/o 61/F, Pearl River Tower No. 15 Zhujiang West Road Zhujiang New Town, Guangzhou, Guangdong 510623 People’s Republ |
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| May 8, 2024 |
DIRECTORS AND EXECUTIVE OFFICERS OF HIGHEST PERFORMANCES HOLDINGS INC. EX-99.1 2 ea020552801ex99-1fanhua.htm LIST OF DIRECTORS AND EXECUTIVE OFFICERS OF HIGHEST PERFORMANCES HOLDINGS INC Exhibit 99.1 DIRECTORS AND EXECUTIVE OFFICERS OF HIGHEST PERFORMANCES HOLDINGS INC. The business address of each of the following directors and executive officers is 61/F, Pearl River Tower, No. 15 West Zhujiang Road, Guangzhou, Guangdong 510623, People’s Republic of China. Name Citi |
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| May 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2024 Commission File Number 001-38813 Highest Performances Holdings Inc. |
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| May 7, 2024 |
Highest Performances Holdings Inc. (NASDAQ: HPH) Increases Its Shareholding in Fanhua to 51.1% Exhibit 99.1 Highest Performances Holdings Inc. (NASDAQ: HPH) Increases Its Shareholding in Fanhua to 51.1% GUANGZHOU, China, May 7, 2024 (GLOBE NEWSWIRE) - Highest Performances Holdings Inc. (NASDAQ: HPH) (“HPH” or the “Company”), today announced that it has increased its shareholding in Fanhua Inc. (“Fanhua”), a leading technology-driven independent financial service provider in China, from 50.1 |
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| April 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of April 2024 Commission File Number 001-38813 Highest Performances Holdings Inc. |
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| April 30, 2024 |
Exhibit 99.1 Highest Performances Holdings Inc. (NASDAQ: HPH) Announces Third Supplementary Agreement to the Strategic Framework Agreement with White Group GUANGZHOU, China, April 30, 2024 (GLOBE NEWSWIRE) - Highest Performances Holdings Inc. (NASDAQ: HPH) (“HPH” or the “Company”), a leading provider of smart home and enterprise services, today announced that it has signed a third supplementary ag |
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| April 16, 2024 |
REGISTRATION RIGHTS AGREEMENT April 13, 2024 Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT April 13, 2024 This REGISTRATION RIGHTS AGREEMENT (this “Agreement”), is made and entered into as of the date first above written, by and among Highest Performances Holdings Inc., a corporation incorporated under the laws of the Cayman Islands whose registered office is at 61F, Pearl River Tower, No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, Guang |
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| April 16, 2024 |
Exhibit 10.1 SHARE PURCHASE AGREEMENT dated as of April 13, 2024 by and among HIGHEST PERFORMANCES HOLDINGS INC., GEM GLOBAL YIELD LLC SCS And GEM YIELD BAHAMAS LIMITED Table of Contents Page ARTICLE I DEFINITIONS 1 Section 1.01 Definitions. 1 ARTICLE II PURCHASE AND SALE OF SHARES 5 Section 2.01 Purchase and Sale of Shares 5 Section 2.02 The Shares 6 Section 2.03 Required Filings 6 Section 2.04 E |
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| April 16, 2024 |
Exhibit 99.1 Highest Performances Holdings Inc. (NASDAQ: HPH) Secures a Share Purchase Agreement from GEM Global Yield LLC SCS (“GEM”) for an Investment of up to US$500 Million. GUANGZHOU, China, April 16, 2024 (GLOBE NEWSWIRE) – Highest Performances Holdings Inc. (NASDAQ: HPH) (“HPH” or the “Company”), today announced that it has signed a share purchase agreement (the “Agreement”) with GEM Global |
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| April 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of April 2024 Commission File Number 001-38813 Highest Performances Holdings Inc. |
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| April 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of April 2024 Commission File Number 001-38813 Highest Performances Holdings Inc. |
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| April 2, 2024 |
Exhibit 16.1 April 2, 2024 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by Highest Performances Holdings Inc. (formerly Puyi Inc.) in its Form 6-K dated April 2, 2024. We agree with the statements concerning our Firm in such Form 6-K; we are not in a position to agree or disagree with other statements of Highest Performa |
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| April 2, 2024 |
HPH Announces Change of Independent Auditor Exhibit 99.1 HPH Announces Change of Independent Auditor GUANGZHOU, China, April 2, 2024 (GLOBE NEWSWIRE) — Highest Performances Holdings Inc. (NASDAQ: HPH) (“HPH” or the “Company”), today announced that with approval from the audit committee and the board of directors (the “Board”) of the Company, it has changed its independent auditor from Marcum Asia CPAs LLP (“Marcum Asia” or the “Former Audit |
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| March 28, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2024 Commission File Number 001-38813 Highest Performances Holdings Inc. |
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| March 28, 2024 |
Highest Performances Announces Acquisition of an AI Humanoid Robot Hardware Manufacturer Exhibit 99.1 Highest Performances Announces Acquisition of an AI Humanoid Robot Hardware Manufacturer GUANGZHOU, China, March 28, 2024 (GLOBE NEWSWIRE) - Highest Performances Holdings Inc. (NASDAQ: HPH) (“HPH” or the “Company”), a leading third-party wealth management services provider in China, today announces that, on March 27, 2024, the Company entered into a second supplementary agreement (the |
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| March 13, 2024 |
Exhibit 3.1 THE COMPANIES ACT (AS AMENDED) OF THE CAYMAN ISLANDS COMPANY LIMITED BY SHARES THIRD amended AND restated Memorandum AND articles OF association of Highest Performances Holdings Inc. 华普集团有限公司 (aDOPTED by special resolution PASSED ON March 13, 2024) THE COMPANIES ACT (AS AMENDED) OF THE CAYMAN ISLANDS COMPANY LIMITED BY SHARES THIRD amended AND restated MEMORANDUM of ASSOCIATION OF HIgh |
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| March 13, 2024 |
Exhibit 99.1 Puyi Inc. Announces Change of Its Name to Highest Performances Holdings Inc. and the Results of Its Extraordinary General Meeting of Shareholders on March 13, 2024 GUANGZHOU, China, March 13, 2024 (GLOBE NEWSWIRE) - Highest Performances Holdings Inc. (NASDAQ: HPH) (“Highest Performances” or the “Company”), a leading third-party wealth management services provider in China, today annou |
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| March 13, 2024 |
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 2024 Commission file number: 001-38813 Highest Performances Holdings Inc. 61F, Pearl River Tower No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, Guangzhou Guangdong Province, People |
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| March 13, 2024 |
Filed pursuant to Rule 424(b)(3) Registration Statement on Form F-6 Registration No.: 333-229521 CUSIP ISIN Filed pursuant to Rule 424(b)(3) Registration Statement on Form F-6 Registration No. |
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| March 11, 2024 |
PUYI INC. 2024 SHARE INCENTIVE PLAN ARTICLE 1 Exhibit 10.2 PUYI INC. 2024 SHARE INCENTIVE PLAN ARTICLE 1 PURPOSE The purpose of this Puyi Inc. Share Incentive Plan (the “Plan”) is to promote the success and enhance the value of Puyi Inc., a company formed under the laws of the Cayman Islands (the “Company”) by linking the personal interests of the members of the Board, Employees, Agents and Consultants to those of the Company shareholders and |
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| March 11, 2024 |
As filed with the Securities and Exchange Commission on March 11, 2024 As filed with the Securities and Exchange Commission on March 11, 2024 Registration No. |
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| March 11, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Puyi Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title(1) Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Share Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Ordinary shares, $0.001 par value per |
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| February 20, 2024 |
Exhibit 99.2 Puyi Inc. (incorporated in the Cayman Islands with limited liability) NOTICE OF EXTRAORDINARY GENERAL MEETING TO BE HELD ON MARCH 13, 2024 NOTICE IS HEREBY GIVEN that an extraordinary general meeting of Puyi Inc. (the “Company”) will be held at 61F, Pearl River Tower, No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, Guangzhou, Guangdong Province, People’s Republic of China on Mar |
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| February 20, 2024 |
Exhibit 99.3 Puyi Inc. (incorporated in the Cayman Islands with limited liability) FORM OF PROXY FOR THE EXTRAORDINARY GENERAL MEETING TO BE HELD ON MARCH 13, 2024 (OR ANY ADJOURNMENT OR POSTPONEMENT THEREOF) We, of , being the registered holder of ordinary shares, par value US$0.001 per share in the share capital of Puyi Inc. (the “Company”) hereby appoint , or failing him/her, the Chairman of th |
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| February 20, 2024 |
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 February 2024 Commission file number: 001-38813 Puyi Inc. 61F, Pearl River Tower No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, Guangzhou Guangdong Province, People’s Republic of China T |
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| February 20, 2024 |
Exhibit 99.1 Puyi Announces Signing of First Supplementary Agreement to the Strategic Framework Agreement with White Group and Changes to Its Board and Management GUANGZHOU, China, February 20, 2024 (GLOBE NEWSWIRE) – Puyi Inc. (NASDAQ: PUYI) (“Puyi” or the “Company”), a leading third-party wealth management services provider in China, today announces the signing of first supplementary agreement ( |
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| February 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 2 to 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 February 2024 Commission file number: 001-38813 Puyi Inc. 61F, Pearl River Tower No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, Guangzhou Guangdong Province, People’s |
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| February 20, 2024 |
Puyi Inc. Announces the Postponement of the Extraordinary General Meeting Exhibit 99.1 Puyi Inc. Announces the Postponement of the Extraordinary General Meeting GUANGZHOU, China, February 20, 2024 (GLOBE NEWSWIRE) – Puyi Inc. (NASDAQ: PUYI) (“Puyi” or the “Company”), a leading third-party wealth management services provider in China, today announced the postponement of the previously scheduled extraordinary general meeting (“EGM”) at 10:00 a.m. on February 22, 2024 (Bei |
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| February 20, 2024 |
Exhibit 99.2 Puyi Inc. (incorporated in the Cayman Islands with limited liability) NOTICE OF EXTRAORDINARY GENERAL MEETING TO BE HELD ON MARCH 13, 2024 NOTICE IS HEREBY GIVEN that an extraordinary general meeting of Puyi Inc. (the “Company”) will be held at 61F, Pearl River Tower, No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, Guangzhou, Guangdong Province, People’s Republic of China on Mar |
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| February 20, 2024 |
Exhibit 99.3 Puyi Inc. (incorporated in the Cayman Islands with limited liability) FORM OF PROXY FOR THE EXTRAORDINARY GENERAL MEETING TO BE HELD ON MARCH 13, 2024 (OR ANY ADJOURNMENT OR POSTPONEMENT THEREOF) We, of , being the registered holder of ordinary shares, par value US$0.001 per share in the share capital of Puyi Inc. (the “Company”) hereby appoint , or failing him/her, the Chairman of th |
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| February 20, 2024 |
Puyi Inc. Announces the Postponement of the Extraordinary General Meeting Exhibit 99.1 Puyi Inc. Announces the Postponement of the Extraordinary General Meeting GUANGZHOU, China, February 20, 2024 (GLOBE NEWSWIRE) – Puyi Inc. (NASDAQ: PUYI) (“Puyi” or the “Company”), a leading third-party wealth management services provider in China, today announced the postponement of the previously scheduled extraordinary general meeting (“EGM”) at 10:00 a.m. on February 22, 2024 (Bei |
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| February 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 3 to 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 February 2024 Commission file number: 001-38813 Puyi Inc. 61F, Pearl River Tower No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, Guangzhou Guangdong Province, People’s |
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| February 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K/A REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of February 2024 Commission file number: 001-38813 Puyi Inc. 61F, Pearl River Tower No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, Guangzhou Guangdong Province, People’s Republic of China |
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| February 5, 2024 |
EX-99.1 2 ea192797ex99-1puyi.htm JOINT FILING AGREEMENT Exhibit 99.1 Joint Filing Agreement In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13G referred to below) on behalf of each of them of a statement on Schedule 13G (incl |
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| February 5, 2024 |
EX-99.1 2 ea192796ex99-1puyi.htm JOINT FILING AGREEMENT Exhibit 99.1 Joint Filing Agreement In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13G referred to below) on behalf of each of them of a statement on Schedule 13G (incl |
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| February 5, 2024 |
US69373Y1091 / PUYI INC ADR / Liu Jia - AMENDMENT NO. 1 TO SCHEDULE 13G Passive Investment SC 13G/A 1 ea192795-13ga1jiapuyi.htm AMENDMENT NO. 1 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A (Amendment No. 1)* Under the Securities Exchange Act of 1934 Puyi Inc. (Name of Issuer) Ordinary Shares, par value $0.001 per share (Title of Class of Securities) 69373Y109 (CUSIP Number) December 29, 2023 (Date of Event Which Requires Filing o |
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| February 5, 2024 |
Exhibit 99.2 Puyi Inc. (incorporated in the Cayman Islands with limited liability) NOTICE OF EXTRAORDINARY GENERAL MEETING TO BE HELD ON FEBRUARY 22, 2024 NOTICE IS HEREBY GIVEN that an extraordinary general meeting of Puyi Inc. (the “Company”) will be held at 61F, Pearl River Tower, No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, Guangzhou, Guangdong Province, People’s Republic of China on |
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| February 5, 2024 |
US69373Y1091 / PUYI INC ADR / Yang Lin - AMENDMENT NO. 1 TO SCHEDULE 13G Passive Investment SC 13G/A 1 ea192797-13ga1linpuyi.htm AMENDMENT NO. 1 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A (Amendment No. 1)* Under the Securities Exchange Act of 1934 Puyi Inc. (Name of Issuer) Ordinary Shares, par value $0.001 per share (Title of Class of Securities) 69373Y109 (CUSIP Number) December 29, 2023 (Date of Event Which Requires Filing o |
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| February 5, 2024 |
US69373Y1091 / PUYI INC ADR / Cheng Jianguo - AMENDMENT NO. 1 TO SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A (Amendment No. 1)* Under the Securities Exchange Act of 1934 Puyi Inc. (Name of Issuer) Ordinary Shares, par value $0.001 per share (Title of Class of Securities) 69373Y109 (CUSIP Number) December 29, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
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| February 5, 2024 |
Exhibit 99.1 Puyi Inc. Announces Amendment to the Proposed Chinese Name to Be Resolved at the Extraordinary General Meeting on February 22, 2024 GUANGZHOU, China, February 5, 2024 (GLOBE NEWSWIRE) – Puyi Inc. (NASDAQ: PUYI) (“Puyi” or the “Company”), a leading third-party wealth management services provider in China, today announced that it will amend the Notice for the Extraordinary General Meeti |
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| February 5, 2024 |
EX-99.1 2 ea192795ex99-1puyi.htm JOINT FILING AGREEMENT Exhibit 99.1 Joint Filing Agreement In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13G referred to below) on behalf of each of them of a statement on Schedule 13G (incl |
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| February 5, 2024 |
Exhibit 99.3 Puyi Inc. (incorporated in the Cayman Islands with limited liability) FORM OF PROXY FOR THE EXTRAORDINARY GENERAL MEETING TO BE HELD ON FEBRUARY 22, 2024 (OR ANY ADJOURNMENT OR POSTPONEMENT THEREOF) We, of , being the registered holder of ordinary shares, par value US$0.001 per share in the share capital of Puyi Inc. (the “Company”) hereby appoint , or failing him/her, the Chairman of |
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| February 2, 2024 |
Puyi Announces Significant Investment from White Group Exhibit 99.1 Puyi Announces Significant Investment from White Group GUANGZHOU, China, February 2, 2024 (GLOBE NEWSWIRE) - Puyi Inc. (NASDAQ: PUYI) (“Puyi” or the “Company”), a leading third-party wealth management services provider in China, today announced that Puyi and Fanhua Inc. (“Fanhua”) entered into a framework agreement with Singapore White Group Pte. Ltd. (“White Group”). Pursuant to the |
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| February 2, 2024 |
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 February 2024 Commission file number: 001-38813 Puyi Inc. 61F, Pearl River Tower No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, Guangzhou Guangdong Province, People’s Republic of China T |
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| January 25, 2024 |
Exhibit 99.3 Puyi Inc. (incorporated in the Cayman Islands with limited liability) FORM OF PROXY FOR THE EXTRAORDINARY GENERAL MEETING TO BE HELD ON FEBRUARY 22, 2024 (OR ANY ADJOURNMENT OR POSTPONEMENT THEREOF) We, of , being the registered holder of ordinary shares, par value US$0.001 per share in the share capital of Puyi Inc. (the “Company”) hereby appoint , or failing him/her, the Chairman of |
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| January 25, 2024 |
Exhibit 99.2 Puyi Inc. (incorporated in the Cayman Islands with limited liability) NOTICE OF EXTRAORDINARY GENERAL MEETING TO BE HELD ON FEBRUARY 22, 2024 NOTICE IS HEREBY GIVEN that an extraordinary general meeting of Puyi Inc. (the “Company”) will be held at 61F, Pearl River Tower, No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, Guangzhou, Guangdong Province, People’s Republic of China on |
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| January 25, 2024 |
Puyi Inc. to Hold Extraordinary General Meeting On February 22, 2024 Exhibit 99.1 Puyi Inc. to Hold Extraordinary General Meeting On February 22, 2024 GUANGZHOU, China, Jan. 25, 2024 (GLOBE NEWSWIRE) - Puyi Inc. (NASDAQ: PUYI) (“Puyi” or the “Company”), a leading third-party wealth management services provider in China, today announced it will hold an extraordinary general meeting (“EGM”) of shareholders at its executive office at 61F, Pearl River Tower, No. 15 Zhu |
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| January 25, 2024 |
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 January 2024 Commission file number: 001-38813 Puyi Inc. 61F, Pearl River Tower No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, Guangzhou Guangdong Province, People’s Republic of China Te |
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| January 16, 2024 |
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 January 2024 Commission file number: 001-38813 Puyi Inc. 61F, Pearl River Tower No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, Guangzhou Guangdong Province, People’s Republic of China Te |
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| January 16, 2024 |
Puyi Announces Investment From New Dragon Exhibit 99.1 Puyi Announces Investment From New Dragon GUANGZHOU, China, January 16, 2024 (GLOBE NEWSWIRE) - Puyi Inc. (NASDAQ: PUYI) (“Puyi” or the “Company”), a leading third-party wealth management services provider in China, today announced that Puyi and certain shareholders have reached share purchase agreements with New Dragon Group (Far East) Limited (“New Dragon”), an investment management |
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| January 5, 2024 |
DIRECTORS AND EXECUTIVE OFFICERSt OF PUYI INC. EX-99.1 2 ea191228ex99-1fanhua.htm LIST OF DIRECTORS AND EXECUTIVE OFFICERS OF PUYI INC Exhibit 99.1 DIRECTORS AND EXECUTIVE OFFICERSt OF PUYI INC. The business address of each of the following directors and executive officers is 61/F, Pearl River Tower, No. 15 West Zhujiang Road, Guangzhou, Guangdong 510623, People’s Republic of China. Name Citizenship Position Ren Yong PRC Chairman of the Board |
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| January 5, 2024 |
EX-99.1 2 ea191225ex99-1puyi.htm JOINT FILING AGREEMENT DATED JANUARY 5, 2024 BY AND BETWEEN THE REPORTING PERSONS Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, each of the undersigned parties hereby agrees to file jointly the statement on Schedule 13D (including any amendments thereto) with respect to the Ordinary Shares, par va |
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| January 5, 2024 |
US69373Y1091 / PUYI INC ADR / HU YINAN - SCHEDULE 13D Activist Investment SC 13D 1 ea191225-13dhupuyi.htm SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D* Under the Securities Exchange Act of 1934 Puyi Inc. (Name of Issuer) Ordinary share, par value $0.001 per share (Title of Class of Securities) 69373Y109 (CUSIP Number) Sea Synergy Limited c/o Yinan Hu 60/F, Pearl River Tower No. 15 West Zhujiang Road Guangzhou, Guangdo |
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| January 5, 2024 |
US69373Y1091 / PUYI INC ADR / Ge Peng - SCHEDULE 13G Passive Investment SC 13G 1 ea191226-13ggepuyi.htm SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G* Under the Securities Exchange Act of 1934 Puyi Inc. (Name of Issuer) Ordinary Shares, Par Value US$0.001 Per Share (Title of Class of Securities) 69373Y109 (CUSIP Number) December 29, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate bo |
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| January 5, 2024 |
US69373Y1091 / PUYI INC ADR / KINGSFORD RESOURCES LTD - SCHEDULE 13G Passive Investment SC 13G 1 ea191227-13gkingsfordpuyi.htm SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G* Under the Securities Exchange Act of 1934 Puyi Inc. (Name of Issuer) Ordinary Shares, Par Value US$0.001 Per Share (Title of Class of Securities) 69373Y109 (CUSIP Number) December 29, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropr |
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| January 5, 2024 |
DIRECTORS AND EXECUTIVE OFFICERS OF SEA SYNERGY LIMITED PERSONS CONTROLLING SEA SYNERGY LIMITED EX-99.2 3 ea191225ex99-2puyi.htm LIST OF DIRECTORS AND EXECUTIVE OFFICERS OF (I) SEA SYNERGY AND (II) SUMMER DAY Exhibit 99.2 DIRECTORS AND EXECUTIVE OFFICERS OF SEA SYNERGY LIMITED PERSONS CONTROLLING SEA SYNERGY LIMITED The name, business address, present principal employment and citizenship of the sole director of Sea Synergy Limited are set forth below. Name Business Address Present Principal |
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| January 5, 2024 |
EX-99.1 2 ea191226ex99-1puyi.htm JOINT FILING AGREEMENT Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, each of the undersigned parties hereby agrees to file jointly the statement on Schedule 13G (including any amendments thereto) with respect to the Ordinary Shares, par value $0.001 per share, of Puyi Inc. It is understood and agr |
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| January 5, 2024 |
EX-99.1 2 ea191227ex99-1puyi.htm JOINT FILING AGREEMENT Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, each of the undersigned parties hereby agrees to file jointly the statement on Schedule 13G (including any amendments thereto) with respect to the Ordinary Shares, par value $0.001 per share, of Puyi Inc. It is understood and agr |
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| January 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D* Under the Securities Exchange Act of 1934 FANHUA INC. (Name of Issuer) ORDINARY SHARES (Title of Class of Securities) G3314G 102 (CUSIP Number) PUYI INC. c/o 61/F, Pearl River Tower No. 15 Zhujiang West Road Zhujiang New Town, Guangzhou, Guangdong 510623 People’s Republic of China Attention: Ren Yong, Chief Execu |
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| December 27, 2023 |
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 December 2023 Commission file number: 001-38813 Puyi Inc. 61F, Pearl River Tower No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, Guangzhou Guangdong Province, People’s Republic of China T |
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| December 27, 2023 |
Puyi Announces Share Exchange Transactions with Certain Shareholders of Fanhua Exhibit 99.1 Puyi Announces Share Exchange Transactions with Certain Shareholders of Fanhua GUANGZHOU, China, Dec. 27, 2023 (GLOBE NEWSWIRE) - Puyi Inc. (NASDAQ: PUYI) (“Puyi”), a leading third-party wealth management services provider in China, today announced that it has entered into certain share exchange agreements with certain shareholders of Fanhua Inc. (“Fanhua,” NASDAQ: FANH), including Mr |
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| December 27, 2023 |
SECURITIES EXCHANGE AGREEMENT by and among Puyi Inc. Dated as of December 27, 2023 TABLE OF CONTENTS Exhibit 10.1 SECURITIES EXCHANGE AGREEMENT by and among Puyi Inc. and [●] Dated as of December 27, 2023 TABLE OF CONTENTS Article 1 DEFINITIONS 1 Section 1.1. Defined Terms. 1 Section 1.2. Interpretation and Rules of Construction. 6 Article 2 SECURITIES EXCHANGE 7 Section 2.1. Securities Exchange. 7 Section 2.2. Closing. 7 Section 2.3. Closing Deliveries by Puyi. 8 Section 2.4. Closing Deliveries |
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| December 22, 2023 |
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 December 2023 Commission file number: 001-38813 Puyi Inc. 61F, Pearl River Tower No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, Guangzhou Guangdong Province, People’s Republic of China T |
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| December 22, 2023 |
Puyi Announces to Repurchase 4.46% Stake from Fanhua Exhibit 99.1 Puyi Announces to Repurchase 4.46% Stake from Fanhua GUANGZHOU, China, December 22, 2023 (GLOBE NEWSWIRE) - Puyi Inc. (NASDAQ: PUYI) (“Puyi”), a leading third-party wealth management services provider in China, today announced that it entered into a share repurchase agreement with Fanhua Inc. (“Fanhua”), pursuant to which Puyi intends to repurchase 4,033,600 ordinary shares of Puyi be |
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| November 28, 2023 |
Employment Contract – EMPLOYEE Exhibit 99.1 Employment Contract – EMPLOYEE BETWEEN: , a company legally incorporated under the laws of People’s Republic of China, having a mailing address at , acting and represented herein by , Legal Representative, declaring duly authorized, (hereinafter called the “COMPANY”) AND: , residing at (hereinafter called the “EMPLOYEE”) (COMPANY and EMPLOYEE hereinafter collectively called “Parties”) |
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| November 28, 2023 |
PUYI INC. ANNOUNCES CHANGE OF DIRECTORS AND SENIOR MANAGEMENT Exhibit 99.2 PUYI INC. ANNOUNCES CHANGE OF DIRECTORS AND SENIOR MANAGEMENT GUANGZHOU, China, November 28, 2023 (GLOBE NEWSWIRE) - Puyi Inc. (NASDAQ: PUYI) (“Puyi,” “we” or the “Company”), a leading third-party wealth management services provider in China with a focus on the affluent and emerging middle class population, today announced that, with immediate effect, Ms. Yang Yuanfen (“Ms. Yang”), Vi |
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| November 28, 2023 |
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 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2023 Commission File Number 001-38813 Puyi Inc. 61F, Pearl River Tower No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, Guangzhou Guangdong Province, People’s Republic of China Tel: |
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| September 25, 2023 |
Exhibit 12.2 Certification by the Principal Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Hu Anlin, certify that: 1. I have reviewed this annual report on Form 20-F of Puyi Inc. (the “Company”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in li |
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| September 25, 2023 |
Exhibit 15.2 10&11&29F, Chow Tai Fook Finance Centre, No.6 Zhujiang East Road, Tianhe District, Guangzhou, Guangdong, China Date: September 25, 2023 To: Puyi Inc. 61/F, Pearl River Tower No. 15 Zhujiang West Road Guangzhou, Guangdong 510623 People’s Republic of China Dear Sirs/Madams, We hereby consent to the reference to our firm under the headings “Item 3. Key Information – D. Risk Factors – Ris |
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| September 25, 2023 |
Supplemental Submission Pursuant to Item 16I(a) of Form 20-F Exhibit 15.4 Supplemental Submission Pursuant to Item 16I(a) of Form 20-F Puyi Inc. (the “Company”) is submitting via EDGAR the following information under Item 16I(a) of Form 20-F in relation to the Staff Statement on the Holding Foreign Companies Accountable Act and the Consolidated Appropriate Act, 2023 (the “HFCAA”). The Company’s independent accounting firm, Marcum Asia CPAs LLP, whose audit |
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| September 25, 2023 |
Exhibit 12.1 Certification by the Principal Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Ren Yong, certify that: 1. I have reviewed this annual report on Form 20-F of Puyi Inc. (the “Company”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in li |
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| September 25, 2023 |
Exhibit 13.1 Certification by the Principal Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 In connection with the Annual Report of Puyi Inc. (the “Company”) on Form 20-F for the fiscal year ended June 30, 2023 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Ren Yong, Chief Executive Officer of the Company, hereby certify, purs |
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| September 25, 2023 |
Exhibit 15.1 25 September 2023 Our Ref: MRC/SSNC/P3431-H19472 The Board of Directors Puyi Inc. 61F, Pearl River Tower No. 15 Zhujiang West Road Zhujiang New Town Tianhe, Guangzhou Guangdong, China Dear Sir or Madam Puyi Inc. FORM 20-F We consent to the reference to our firm under the heading “Item 10.E. Additional Information—Taxation” in the Annual Report on Form 20-F of Puyi Inc. for the year en |
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| September 25, 2023 |
Independent Registered Public Accounting Firm’s Consent Exhibit 15.3 Independent Registered Public Accounting Firm’s Consent We consent to the incorporation by reference in the Registration Statement of Puyi Inc. on Form F-3 (FILE NO. 333-261063) of our report dated September 25, 2023, with respect to our audits of the consolidated balance sheets of Puyi Inc. as of June 30, 2023 and 2022, and the related consolidated statements of operations and compre |
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| September 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 20-F ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For fiscal year ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 O |
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| September 25, 2023 |
Exhibit 13.2 Certification by the Principal Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 In connection with the Annual Report of Puyi Inc. (the “Company”) on Form 20-F for the fiscal year ended June 30, 2023 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Hu Anlin, Chief Financial Officer of the Company, hereby certify, purs |
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| March 20, 2023 |
PUYI INC. ANNOUNCES UNAUDITED FINANCIAL RESULTS FOR THE FIRST HALF OF THE FISCAL YEAR 2023 Exhibit 99.2 PUYI INC. ANNOUNCES UNAUDITED FINANCIAL RESULTS FOR THE FIRST HALF OF THE FISCAL YEAR 2023 GUANGZHOU, China, March 20, 2023 (GLOBE NEWSWIRE) - Puyi Inc. (“Puyi,” “we” or the “Company”) (NASDAQ: PUYI), a leading third-party wealth management service provider in China focusing on the affluent and emerging middle class population, today announced its unaudited financial results for the f |
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| March 20, 2023 |
Exhibit 99.1 PUYI INC. TABLE OF CONTENTS Page Condensed Consolidated Statements of Financial Position as of June 30, 2022 and December 31,2022 (Unaudited) F-2 Condensed Consolidated Statements of Operations and Comprehensive Loss for the Six Months Ended December 31, 2021 and 2022 (Unaudited) F-4 Condensed Consolidated Statements of Shareholders’ Equity for the Six Months Ended December 31, 2021 a |
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| March 20, 2023 |
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 2023 Commission file number: 001-38813 Puyi Inc. 61F, Pearl River Tower No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, Guangzhou Guangdong Province, People’s Republic of China Tel: |
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| January 10, 2023 |
US69373Y1091 / PUYI INC ADR / Yu Haifeng - AMENDMENT NO. 1 TO SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. 1)* Under the Securities Exchange Act of 1934 Puyi Inc. (Name of Issuer) Ordinary share, par value $0.001 per share (Title of Class of Securities) 69373Y109 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
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| October 19, 2022 |
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 October 2022 Commission file number: 001-38813 Puyi Inc. 61F, Pearl River Tower No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, Guangzhou Guangdong Province, People?s Republic of China Te |
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| October 19, 2022 |
PUYI INC. ANNOUNCES APPOINTMENT OF CO-CHAIRMAN OF THE BOARD Exhibit 99.1 PUYI INC. ANNOUNCES APPOINTMENT OF CO-CHAIRMAN OF THE BOARD GUANGZHOU, China, Oct. 19, 2022 (GLOBE NEWSWIRE) - Puyi Inc. (?Puyi? or the ?Company?) (NASDAQ: PUYI), a leading third-party wealth management service provider in China focusing on affluent and emerging middle class population, today announced the appointment of Mr. Youjie Kong (?Mr. Kong?) as the co-chairman of its board of |
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| October 11, 2022 |
CEO Certificate Pursuant to Section 302 of Sarbanes-Oxley Act of 2002 Exhibit 12.1 Certification by the Principal Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Ren Yong, certify that: 1. I have reviewed this annual report on Form 20-F of Puyi Inc. (the “Company”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in li |
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| October 11, 2022 |
Exhibit 15.2 10&11&29F, Chow Tai Fook Finance Centre, No.6 Zhujiang East Road, Tianhe District, Guangzhou, Guangdong, China Date: October 11, 2022 To: Puyi Inc. 61/F, Pearl River Tower No. 15 Zhujiang West Road Guangzhou, Guangdong 510623 People’s Republic of China Dear Sirs/Madams, We hereby consent to the reference to our firm under the headings “Item 3. Key Information – D. Risk Factors – Risks |
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| October 11, 2022 |
Consent of Walkers (Hong Kong) Exhibit 15.1 Partners: John Cartwright * Audrey Coker * Joanne Collett * Mark Cummings ***** Stuart D'Addona **** Colm Dawson *** Shamar Ennis *** James Gaden **** Thomas Granger ** Kristen Kwok ** Wing Lam * William Lee * Thomas Pugh ***** Andrew Randall ** Rupen Shah ***** Colette Wilkins *** Denise Wong ** 11 October 2022 Our Ref: NASD/SSNC/P3431-H19472 The Board of Directors Puyi Inc. 61F, Pea |
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| October 11, 2022 |
CFO Certificate Pursuant to Section 906 of Sarbanes-Oxley Act of 2002 Exhibit 13.2 Certification by the Principal Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 In connection with the Annual Report of Puyi Inc. (the “Company”) on Form 20-F for the fiscal year ended June 30, 2022 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Hu Anlin, Chief Financial Officer of the Company, hereby certify, purs |
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| October 11, 2022 |
CFO Certificate Pursuant to Section 302 of Sarbanes-Oxley Act of 2002 Exhibit 12.2 Certification by the Principal Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Hu Anlin, certify that: 1. I have reviewed this annual report on Form 20-F of Puyi Inc. (the “Company”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in li |
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| October 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 20-F ? REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For fiscal year ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 O |
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| October 11, 2022 |
Exhibit 4.29 Equity Interest Transfer Agreement This Agreement is entered into by the following three Parties in Chengdu on June 30, 2022. Transferor: Yang Yuanfen (hereinafter referred to as ?Party A?) ID Card No.: 510107197408210928 Transferee: Puyi Enterprises Management Consulting Co., Ltd. (hereinafter referred to as ?Party B?) Unified Social Credit Code: 91510100MA68EQ4T56 Target Company: Ch |
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| October 11, 2022 |
CEO Certificate Pursuant to Section 906 of Sarbanes-Oxley Act of 2002 Exhibit 13.1 Certification by the Principal Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 In connection with the Annual Report of Puyi Inc. (the “Company”) on Form 20-F for the fiscal year ended June 30, 2022 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Ren Yong, Chief Executive Officer of the Company, hereby certify, purs |
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| October 11, 2022 |
Marcum Asia CPAs llp (Formerly Marcum Bernstein & Pinchuk LLP) EX-15.3 9 f20f2022ex15-3puyiinc.htm MARCUM ASIA CPAS LLP (FORMERLY MARCUM BERNSTEIN & PINCHUK LLP) Exhibit 15.3 Independent Registered Public Accounting Firm’s Consent We consent to the incorporation by reference in the Registration Statement of Puyi Inc. on Form F-3 (FILE NO. 333-261063) of our report dated October 11, 2022, with respect to our audits of the consolidated statements of financial p |
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| September 22, 2022 |
Puyi Inc. 61F, Pearl River Tower No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, Guangzhou Guangdong Province, People’s Republic of China September 22, 2022 VIA EDGAR Mr. John Stickel Ms. Sonia Bednarowski U.S. Securities and Exchange Commission 100 F. Street, N.E. Washington, D.C. 20549 Re: Puyi Inc. Registration Statement on Form F-3 (File No. 333-261063) Acceleration Request Ladies and Ge |
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| September 19, 2022 |
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 September 2022 Commission file number: 001-38813 Puyi Inc. 61F, Pearl River Tower No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, Guangzhou Guangdong Province, People’s Republic of China |
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| September 19, 2022 |
PUYI INC. ANNOUNCES CHANGE OF CHAIRMAN OF THE BOARD Exhibit 99.1 PUYI INC. ANNOUNCES CHANGE OF CHAIRMAN OF THE BOARD GUANGZHOU, China, Sept. 19, 2022 (GLOBE NEWSWIRE) - Puyi Inc. (?Puyi,? ?we? or the ?Company?) (NASDAQ: PUYI), a leading third-party wealth management service provider in China focusing on affluent and emerging middle class population, today announced that, with immediate effect, Mr. Yong Ren (?Mr. Ren?), chief executive officer of th |
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| September 16, 2022 |
As filed with the Securities and Exchange Commission on September 16, 2022 As filed with the Securities and Exchange Commission on September 16, 2022 Registration No. |
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| September 16, 2022 |
Exhibit 107 Calculation of Filing Fee Table FORM F-3 (Form Type) Puyi Inc. (Exact Name of Registrant as Specified in its Charter) Newly Registered and Carry Forward Securities Security Type Security Class Title(1)(3) Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price(2) Fee Rate Amount of Registration Fee(2) Carry Forwa |
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| September 16, 2022 |
SIDLEY AUSTIN 39/F, TWO INT’L FINANCE CENTRE CENTRAL, HONG KONG +852 2509 7888 +852 2509 3110 FAX AMERICA ● ASIA PACIFIC ● EUROPE MENG. |
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| September 15, 2022 |
US69373Y1091 / PUYI INC ADR / Cheng Jianguo - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Puyi Inc. (Name of Issuer) Ordinary Shares, par value $0.001 per share (Title of Class of Securities) 69373Y109 (CUSIP Number) September 8, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S |
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| September 15, 2022 |
Exhibit 99.1 Joint Filing Agreement In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13G referred to below) on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the ordinary s |
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| September 15, 2022 |
US69373Y1091 / PUYI INC ADR / Liu Jia - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Puyi Inc. (Name of Issuer) Ordinary Shares, par value $0.001 per share (Title of Class of Securities) 69373Y109 (CUSIP Number) September 8, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S |
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| September 15, 2022 |
Exhibit 99.1 Joint Filing Agreement In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13G referred to below) on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the ordinary s |
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| September 15, 2022 |
US69373Y1091 / PUYI INC ADR / Yang Lin - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Puyi Inc. (Name of Issuer) Ordinary Shares, par value $0.001 per share (Title of Class of Securities) 69373Y109 (CUSIP Number) September 8, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S |
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| September 15, 2022 |
Exhibit 99.1 Joint Filing Agreement In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13G referred to below) on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the ordinary s |
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| August 19, 2022 |
SIDLEY AUSTIN 39/F, TWO INT’L FINANCE CENTRE CENTRAL, HONG KONG +852 2509 7888 +852 2509 3110 FAX AMERICA ● ASIA PACIFIC ● EUROPE meng. |
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| August 19, 2022 |
As filed with the Securities and Exchange Commission on August 19, 2022 F-3/A 1 ea164520-f3a5puyiinc.htm AMENDMENT NO. 5 TO FORM F-3 As filed with the Securities and Exchange Commission on August 19, 2022 Registration No. 333-261063 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 5 TO FORM F-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Puyi Inc. (Exact name of Registrant as specified in its charter) Not Applicable (Tr |
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| June 30, 2022 |
SIDLEY AUSTIN 39/F, TWO INT’L FINANCE CENTRE CENTRAL, HONG KONG +852 2509 7888 +852 2509 3110 FAX AMERICA ● ASIA PACIFIC ● EUROPE meng. |
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| June 30, 2022 |
As filed with the Securities and Exchange Commission on June 30, 2022 F-3/A 1 ea161574-f3a4puyiinc.htm AMENDMENT NO. 4 TO FORM F-3 As filed with the Securities and Exchange Commission on June 30, 2022 Registration No. 333-261063 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 4 TO FORM F-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Puyi Inc. (Exact name of Registrant as specified in its charter) Not Applicable (Tran |
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| May 10, 2022 |
SIDLEY AUSTIN 39/F, TWO INT’L FINANCE CENTRE CENTRAL, HONG KONG +852 2509 7888 +852 2509 3110 FAX AMERICA ● ASIA PACIFIC ● EUROPE meng. |
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| May 10, 2022 |
As filed with the Securities and Exchange Commission on May 10, 2022 F-3/A 1 ea159361-f3a3puyiinc.htm AMENDMENT NO. 3 TO FORM F-3 As filed with the Securities and Exchange Commission on May 10, 2022 Registration No. 333-261063 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 3 TO FORM F-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Puyi Inc. (Exact name of Registrant as specified in its charter) Not Applicable (Trans |
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| March 28, 2022 |
6-K 1 ea157283-6kpuyiinc.htm REPORT OF FOREIGN PRIVATE ISSUER 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 2022 Commission file number: 001-38813 Puyi Inc. 61F, Pearl River Tower No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, |
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| March 28, 2022 |
PUYI INC. ANNOUNCES UNAUDITED FINANCIAL RESULTS FOR THE FIRST HALF OF THE FISCAL YEAR 2022 Exhibit 99.1 PUYI INC. ANNOUNCES UNAUDITED FINANCIAL RESULTS FOR THE FIRST HALF OF THE FISCAL YEAR 2022 GUANGZHOU, China, March 28, 2022 (GLOBE NEWSWIRE) - Puyi Inc. (?Puyi?, ?we? or the ?Company?) (NASDAQ: PUYI), a leading third-party wealth management service provider in China focusing on affluent and emerging middle class population, today announced its unaudited financial results for the first |
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| January 27, 2022 |
As filed with the Securities and Exchange Commission on January 27, 2022 F-3/A 1 ea154407-f3a2puyiinc.htm AMENDMENT NO. 2 TO FORM F-3 As filed with the Securities and Exchange Commission on January 27, 2022 Registration No. 333-261063 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 2 TO FORM F-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Puyi Inc. (Exact name of Registrant as specified in its charter) Not Applicable (T |
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| January 27, 2022 |
SIDLEY AUSTIN 39/F, TWO INT’L FINANCE CENTRE CENTRAL, HONG KONG +852 2509 7888 +852 2509 3110 FAX AMERICA ● ASIA PACIFIC ● EUROPE meng. |
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| January 13, 2022 |
6-K 1 ea153894-6kpuyiinc.htm REPORT OF FOREIGN PRIVATE ISSUER 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 January 2022 Commission file number: 001-38813 Puyi Inc. 61F, Pearl River Tower No. 15 Zhujiang West Road, Zhujiang New Town, Tianh |
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| January 13, 2022 |
Puyi Inc. Announces Its Relocation of Headquarter Office Exhibit 99.1 Puyi Inc. Announces Its Relocation of Headquarter Office GUANGZHOU, China, January 13, 2022 (GLOBE NEWSWIRE) - Puyi Inc. (?Puyi? or the ?Company?) (NASDAQ: PUYI), a leading third-party wealth management service provider in China focusing on affluent and emerging middle class populations, today announced that it has relocated its headquarter office from 42F, Pearl River Tower, No. 15 Z |
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| December 23, 2021 |
SIDLEY AUSTIN 39/F, TWO INT?L FINANCE CENTRE CENTRAL, HONG KONG +852 2509 7888 +852 2509 3110 FAX AMERICA ? ASIA PACIFIC ? EUROPE meng. |
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| December 23, 2021 |
As filed with the Securities and Exchange Commission on December 23, 2021 As filed with the Securities and Exchange Commission on December 23, 2021 Registration No. |
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| November 15, 2021 |
As filed with the Securities and Exchange Commission on November 15, 2021 As filed with the Securities and Exchange Commission on November 15, 2021 Registration No. |
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| September 27, 2021 |
Consent of Walkers (Hong Kong) Exhibit 15.1 27 September 2021 Our Ref: NASD/SSNC/P3431-H19472 The Board of Directors Puyi Inc. 42F, Pearl River Tower No. 15 Zhujiang West Road Zhujiang New Town Tianhe, Guangzhou Guangdong, China Dear Sir or Madam Puyi Inc. FORM 20-F We consent to the reference to our firm under the heading “Item 10.E. Additional Information—Taxation” in the Annual Report on Form 20-F of Puyi Inc. for the year e |
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| September 27, 2021 |
Exhibit 15.2 29&10F, Chow Tai Fook Finance Centre, No.6 Zhujiang East Road, Tianhe District, Guangzhou, Guangdong, China Date: September 27, 2021 To: Puyi Inc. 42/F, Pearl River Tower No. 15 Zhujiang West Road Guangzhou, Guangdong 510623 People’s Republic of China Dear Sirs/Madams, We hereby consent to the reference to our firm under the headings “Item 3. Key Information – D. Risk Factors – Risks |
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| September 27, 2021 |
CFO Certificate Pursuant to Section 302 of Sarbanes-Oxley Act of 2002 Exhibit 12.2 Certification by the Principal Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Hu Anlin, certify that: 1. I have reviewed this annual report on Form 20-F of Puyi Inc. (the “Company”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in li |
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| September 27, 2021 |
CEO Certificate Pursuant to Section 906 of Sarbanes-Oxley Act of 2002 Exhibit 13.1 Certification by the Principal Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 In connection with the Annual Report of Puyi Inc. (the “Company”) on Form 20-F for the fiscal year ended June 30, 2021 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Ren Yong, Chief Executive Officer of the Company, hereby certify, purs |
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| September 27, 2021 |
CFO Certificate Pursuant to Section 906 of Sarbanes-Oxley Act of 2002 Exhibit 13.2 Certification by the Principal Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 In connection with the Annual Report of Puyi Inc. (the “Company”) on Form 20-F for the fiscal year ended June 30, 2021 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Hu Anlin, Chief Financial Officer of the Company, hereby certify, purs |
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| September 27, 2021 |
CEO Certificate Pursuant to Section 302 of Sarbanes-Oxley Act of 2002 Exhibit 12.1 Certification by the Principal Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Ren Yong, certify that: 1. I have reviewed this annual report on Form 20-F of Puyi Inc. (the “Company”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in li |
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| September 27, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 20-F ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For fiscal year ended June 30, 2021 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 O |
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| April 1, 2021 |
Response to the Staff’s Comment Letter Dated March 17, 2021 SIDLEY AUSTIN 39/F, TWO INT'L FINANCE CENTRE CENTRAL, HONG KONG +852 2509 7888 +852 2509 3110 FAX AMERICA ● ASIA PACIFIC ● EUROPE meng. |
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| March 29, 2021 |
PUYI INC. ANNOUNCES UNAUDITED FINANCIAL RESULTS FOR THE FIRST HALF OF THE FISCAL YEAR 2021 Exhibit 99.1 PUYI INC. ANNOUNCES UNAUDITED FINANCIAL RESULTS FOR THE FIRST HALF OF THE FISCAL YEAR 2021 GUANGZHOU, China, March 29, 2021 (GLOBE NEWSWIRE) - Puyi Inc. (“Puyi”, “we” or the “Company”) (NASDAQ: PUYI), a leading third-party wealth management service provider in China focusing on affluent and emerging middle class population, today announced its unaudited financial results for the first |
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| March 29, 2021 |
Current Report of Foreign Issuer - REPORT OF FOREIGN PRIVATE ISSUER 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 2021 Commission file number: 001-38813 Puyi Inc. 42F, Pearl River Tower No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, Guangzhou Guangdong Province, People?s Republic of China Tel: |
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| January 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Puyi Inc. (Name of Issuer) Ordinary share, par value $0.001 per share (Title of Class of Securities) 69373Y109 (CUSIP Number) January 15, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sch |
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| January 15, 2021 |
Exhibit A JOINT FILING AGREEMENT The undersigned hereby agree that the statement on Schedule 13G with respect to the ordinary shares of Puyi Inc. |
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| September 28, 2020 |
CEO Certificate Pursuant to Section 302 of Sarbanes-Oxley Act of 2002 Exhibit 12.1 Certification by the Principal Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Yong Ren, certify that: 1. I have reviewed this annual report on Form 20-F of Puyi Inc. (the “Company”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in li |
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| September 28, 2020 |
CFO Certificate Pursuant to Section 906 of Sarbanes-Oxley Act of 2002 Exhibit 13.2 Certification by the Principal Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 In connection with the Annual Report of Puyi Inc. (the “Company”) on Form 20-F for the fiscal year ended June 30, 2020 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Hu Anlin, Chief Financial Officer, hereby certify, pursuant to 18 U.S. |
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| September 28, 2020 |
CFO Certificate Pursuant to Section 302 of Sarbanes-Oxley Act of 2002 Exhibit 12.2 Certification by the Principal Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Hu Anlin, certify that: 1. I have reviewed this annual report on Form 20-F of Puyi Inc. (the “Company”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in li |
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| September 28, 2020 |
Consent of Walkers (Hong Kong) Exhibit 15.1 28 September 2020 Our Ref: JWYL/P3431-H19472 The Board of Directors Puyi Inc. 42F, Pearl River Tower No. 15 Zhujiang West Road Zhujiang New Town Tianhe, Guangzhou Guangdong, China Dear Sir or Madam Puyi Inc. FORM 20-F We consent to the reference to our firm under the heading “Item 10.D. Additional Information—Taxation” in the Annual Report on Form 20-F of Puyi Inc. for the year ended |
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| September 28, 2020 |
CEO Certificate Pursuant to Section 906 of Sarbanes-Oxley Act of 2002 Exhibit 13.1 Certification by the Principal Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 In connection with the Annual Report of Puyi Inc. (the “Company”) on Form 20-F for the fiscal year ended June 30, 2020 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Yong Ren, Chief Executive Officer of the Company, hereby certify, purs |
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| September 28, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 20-F ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For fiscal year ended June 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 O |
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| September 28, 2020 |
Exhibit 15.2 29&10F, Chow Tai Fook Finance Centre, No.6 Zhujiang East Road, Tianhe District, Guangzhou, Guangdong, China Date: September 28, 2020 To: Puyi Inc. 42/F, Pearl River Tower No. 15 Zhujiang West Road Guangzhou, Guangdong 510623 People’s Republic of China Dear Sirs, We hereby consent to the reference to our firm under the headings “Item 3. Key Information – D. Risk Factors – Risks Related |
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| March 26, 2020 |
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 2020 Commission file number: 001-38813 Puyi Inc. 42F, Pearl River Tower No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, Guangzhou Guangdong Province, People?s Republic of China Tel: |
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| March 26, 2020 |
PUYI INC. ANNOUNCES UNAUDITED FINANCIAL RESULTS FOR THE FIRST HALF OF THE FISCAL YEAR 2020 Exhibit 99.1 PUYI INC. ANNOUNCES UNAUDITED FINANCIAL RESULTS FOR THE FIRST HALF OF THE FISCAL YEAR 2020 GUANGZHOU, China, March 26, 2020 (GLOBE NEWSWIRE) - Puyi Inc. (?Puyi?, ?we? or the ?Company?) (NASDAQ: PUYI), a leading third-party wealth management service provider in China focusing on mass affluent and emerging middle class population, today announced its unaudited financial results for the |
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| March 17, 2020 |
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 2020 Commission file number: 001-38813 Puyi Inc. 42F, Pearl River Tower No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, Guangzhou Guangdong Province, People?s Republic of China Tel: |
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| March 17, 2020 |
Puyi Inc. Appoints Dr. Lihong Zhai as Independent Director Exhibit 99.1 Puyi Inc. Appoints Dr. Lihong Zhai as Independent Director GUANGZHOU, China, March 17, 2020 (GLOBE NEWSWIRE) - Puyi Inc. (?Puyi? or the ?Company?) (NASDAQ: PUYI), a leading third-party wealth management service provider in China focusing on mass affluent and emerging middle class population, announced the appointment of Dr. Lihong Zhai as its new independent director and new member of |
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| February 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Puyi Inc. (Name of Issuer) Ordinary share, par value $0.001 per share (Title of Class of Securities) 69373Y109 (CUSIP Number) February 13, 2019 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sc |
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| February 13, 2020 |
Joint Filing Agreement, dated February 13, 2020, by and between the Reporting Persons Exhibit A JOINT FILING AGREEMENT The undersigned hereby agree that the statement on Schedule 13G with respect to the ordinary shares of Puyi Inc. |
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| October 15, 2019 |
CEO Certificate Pursuant to Section 302 of Sarbanes-Oxley Act of 2002 Exhibit 12.1 Certification by the Principal Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Yong Ren, certify that: 1. I have reviewed this annual report on Form 20-F of Puyi Inc. (the “Company”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in li |
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| October 15, 2019 |
Consent of Walkers (Hong Kong) Exhibit 15.1 Partners: October 14, 2019 Our Ref: JWYL/P3431-H19472 Paul Aherne ** Joanne Collett * The Board of Directors Mark Cummings ***** Puyi Inc. James Gaden **** 42F, Pearl River Tower Amelia Hall * No. 15 Zhujiang West Road Timothy Haynes *** Zhujiang New Town Kristen Kwok ** Tianhe, Guangzhou Wing Yee Lit * Guangdong, China Callum McNeil ** Alice Molan Andrew Randall Rupen Shah Denise Won |
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| October 15, 2019 |
CFO Certificate Pursuant to Section 302 of Sarbanes-Oxley Act of 2002 Exhibit 12.2 Certification by the Principal Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Hu Anlin, certify that: 1. I have reviewed this annual report on Form 20-F of Puyi Inc. (the “Company”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in li |
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| October 15, 2019 |
CFO Certificate Pursuant to Section 906 of Sarbanes-Oxley Act of 2002 Exhibit 13.2 Certification by the Principal Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 In connection with the Annual Report of Puyi Inc. (the “Company”) on Form 20-F for the fiscal year ended June 30, 2019 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Hu Anlin, Chief Financial Officer, hereby certify, pursuant to 18 U.S. |
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| October 15, 2019 |
Exhibit 15.2 29&10F, Chow Tai Fook Finance Centre, No.6 Zhujiang West Road, Tianhe District, Guangzhou, Guangdong, China Date: October 14, 2019 To: Puyi Inc. 42/F, Pearl River Tower No. 15 Zhujiang West Road Guangzhou, Guangdong 510623 People’s Republic of China Dear Sirs, We hereby consent to the reference to our firm under the headings “Item 3. Key Information – D. Risk Factors – Risks Related t |
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| October 15, 2019 |
Exhibit 4.28 ESCROW AGREEMENT (PUBLIC OFFERING) THIS AGREEMENT (this ?Agreement?) is made this February 25, 2019, by and among Puyi Inc. (the ?Issuer?) and the Underwriter whose name and address appears on the Information Sheet (as defined herein) attached to this Agreement and Continental Stock Transfer & Trust Company, 1 State Street, 30th Floor, New York, New York 10004 (the ?Escrow Agent?). W |
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| October 15, 2019 |
Exhibit 2.5 DEPOSIT AGREEMENT by and among Puyi Inc. as Issuer, DEUTSCHE BANK TRUST COMPANY AMERICAS as Depositary, AND THE HOLDERS AND BENEFICIAL OWNERS OF AMERICAN DEPOSITARY SHARES EVIDENCED BY AMERICAN DEPOSITARY RECEIPTS ISSUED HEREUNDER Dated as of March 27, 2019 DEPOSIT AGREEMENT DEPOSIT AGREEMENT, dated as of March 27, 2019, by and among (i) Puyi Inc., a company incorporated in the Cayman |
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| October 15, 2019 |
Consent of Marcum Bernstein & Pinchuk LLP Exhibit 15.3 Independent Registered Public Accounting Firm’s Consent We consent to the incorporation by reference in the Registration Statement of Puyi Inc. on Form F-1 Amendment No. 5 (File No. 333-228510) of our report dated October 1, 2018, with respect to our audits of the consolidated financial statements of Puyi Inc. as of June 30, 2018 and 2017 and for the years ended June 30, 2018 and 2017 |
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| October 15, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 20-F ? REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For fiscal year ended June 30, 2019 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 O |
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| October 15, 2019 |
CEO Certificate Pursuant to Section 906 of Sarbanes-Oxley Act of 2002 Exhibit 13.1 Certification by the Principal Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 In connection with the Annual Report of Puyi Inc. (the “Company”) on Form 20-F for the fiscal year ended June 30, 2019 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Yong Ren, Chief Executive Officer of the Company, hereby certify, purs |
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| September 24, 2019 |
Puyi Inc. Appoints Mr. Yong Ren as Chief Executive Officer Exhibit 99.1 Puyi Inc. Appoints Mr. Yong Ren as Chief Executive Officer GUANGZHOU, China, September 24, 2019 (GLOBE NEWSWIRE) - Puyi Inc. (?Puyi? or the ?Company?) (NASDAQ: PUYI), a leading third-party wealth management service provider in China focusing on mass affluent and emerging middle class population, today announced the appointment of Mr. Yong Ren as its new chief executive officer (the ?C |
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| September 24, 2019 |
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 September 2019 Commission file number: 001-38813 Puyi Inc. 42F, Pearl River Tower No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, Guangzhou Guangdong Province, People?s Republic of China |
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| April 29, 2019 |
PUYI INC. ANNOUNCES UNAUDITED FINANCIAL RESULTS FOR THE FIRST HALF OF FISCAL YEAR 2019 Exhibit 99.1 PUYI INC. ANNOUNCES UNAUDITED FINANCIAL RESULTS FOR THE FIRST HALF OF FISCAL YEAR 2019 GUANGZHOU, China, April 29, 2019 (GLOBE NEWSWIRE) - Puyi Inc. (?Puyi?, ?we? or the ?Company?) (NASDAQ: PUYI), a leading third-party wealth management service provider in China focusing on mass affluent and emerging middle class population, today announced its unaudited financial results for the firs |
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| April 29, 2019 |
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 April 2019 Commission file number: 001-38813 Puyi Inc. 42F, Pearl River Tower No. 15 Zhujiang West Road, Zhujiang New Town, Tianhe, Guangzhou Guangdong Province, People?s Republic of China Tel: |
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| March 19, 2019 |
Filed pursuant to Rule 424(b)(4) Registration No. 333-228510 4,000,000 American depositary shares representing 6,000,000 ordinary shares (minimum offering amount) 6,666,668 American depositary shares representing 10,000,002 ordinary shares (maximum offering amount) Puyi Inc. This is the initial public offering of ADSs, by Puyi Inc. Every two ADSs represent three ordinary shares (with each ADS repr |
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| March 14, 2019 |
N E T W O R K 1 F I N A N C I A L S E C U R I T I E S , I N C . CORRESP 1 filename1.htm N E T W O R K 1 F I N A N C I A L S E C U R I T I E S , I N C . March 14, 2019 VIA EDGAR Mr. Christopher Dunham Ms. Erin Purnell Mr. William Schroeder Mr. Benjamin Phippen Division of Corporation Finance U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Puyi Inc. (CIK No. 0001750264) Registration Statement on Form F-1 (File No. 333-228510) |
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| March 14, 2019 |
CORRESP 1 filename1.htm PUYI INC. March 14, 2019 VIA EDGAR Mr. Christopher Dunham Ms. Erin Purnell Mr. William Schroeder Mr. Benjamin Phippen Division of Corporation Finance U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Puyi Inc. (CIK No. 0001750264) Registration Statement on Form F-1 (File No. 333-228510) Registration Statement on Form 8-A (File No. 001-38813 |
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| February 22, 2019 |
EX-4 2 a19-8ex4.htm EX. (A) DEPOSIT AGREEMENT DEPOSIT AGREEMENT by and among PUYI INC. as Issuer, DEUTSCHE BANK TRUST COMPANY AMERICAS as Depositary, AND THE HOLDERS AND BENEFICIAL OWNERS OF AMERICAN DEPOSITARY SHARES EVIDENCED BY AMERICAN DEPOSITARY RECEIPTS ISSUED HEREUNDER Dated as of [●], 2019 DEPOSIT AGREEMENT DEPOSIT AGREEMENT, dated as of [●], 2019, by and among (i) Puyi Inc., a company inc |
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| February 22, 2019 |
AUKUF / AMS AG PRE-EFFECTIVE AMENDMENT NO. 2 ON FORM F-6/A As filed with the Securities and Exchange Commission on February 22, 2019 Registration No. |
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| February 22, 2019 |
Exhibit 4.5 DEPOSIT AGREEMENT by and among Puyi Inc. as Issuer, DEUTSCHE BANK TRUST COMPANY AMERICAS as Depositary, AND THE HOLDERS AND BENEFICIAL OWNERS OF AMERICAN DEPOSITARY SHARES EVIDENCED BY AMERICAN DEPOSITARY RECEIPTS ISSUED HEREUNDER Dated as of [?], 2019 DEPOSIT AGREEMENT DEPOSIT AGREEMENT, dated as of [?], 2019, by and among (i) Puyi Inc., a company incorporated in the Cayman Islands, w |
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| February 22, 2019 |
CORRESP 1 filename1.htm KEFEI LI DIRECT DIAL +8610 5905 5610 +86135 1106 5480 DIRECT FAX +8610 6505 5360 EMAIL ADDRESS [email protected] SIDLEY AUSTIN LLP 盛德国际律师事务所 SUITE 608, TOWER C2, ORIENTAL PLAZA, NO.1 EAST CHANG AN AVENUE, DONG CHENG DISTRICT, BEIJING — TEL: +86 10 5905 5588 FAX: +86 10 6505 5360 February 22, 2019 AFFILIATED OFFICES BEIJING BOSTON BRUSSELS CENTURY CITY CHICAGO DALLAS GENEV |
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| February 22, 2019 |
As filed with the Securities and Exchange Commission on February 22, 2019 As filed with the Securities and Exchange Commission on February 22, 2019 Registration No. |
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| February 14, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Puyi Inc. (Exact name of registrant as specified in its charter) Cayman Islands Not Applicable (State of incorporation or organization) (I.R.S. Employer Identification No.) 42F, Pearl River Tower N |
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| February 13, 2019 |
DEPOSIT AGREEMENT by and among PUYI INC. as Issuer, DEUTSCHE BANK TRUST COMPANY AMERICAS as Depositary, AND THE HOLDERS AND BENEFICIAL OWNERS OF AMERICAN DEPOSITARY SHARES EVIDENCED BY AMERICAN DEPOSITARY RECEIPTS ISSUED HEREUNDER Dated as of [●], 2019 DEPOSIT AGREEMENT DEPOSIT AGREEMENT, dated as of [●], 2019, by and among (i) Puyi Inc., a company incorporated in the Cayman Islands, with its prin |
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| February 13, 2019 |
AUKUF / AMS AG PRE-EFFECTIVE AMENDMENT NO. 1 ON F-6/A As filed with the Securities and Exchange Commission on February 13, 2019 Registration No. |
