Mga Batayang Estadistika
| LEI | 549300K7TD5EMOM7D333 |
| CIK | 1210618 |
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 SPI Energy Co., Ltd.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| February 11, 2025 |
Fifth Addendum to Deed of Settlement Exhibit 10.1 Fifth Addendum to Deed of Settlement THIS ADDENDUM to the 6 March 2024 Deed of Settlement (Deed of Settlement), the 24 May 2024 Addendum to Deed of Settlement (Addendum), the 15 July 2024 Second Addendum to Deed of Settlement (Second Addendum), the 13 September 2024 Third Addendum to Deed of Settlement (Third Addendum), and the 11 November 2024 Fourth Addendum to Deed of Settlement (F |
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| February 11, 2025 |
United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 January 23, 2025 Date of Report (Date of earliest event reported) SPI Energy Co., Ltd. (Exact Name of Registrant as Specified in its Charter) Cayman Islands 001-37678 20-4956638 (State or other jurisdiction of incorporation) (Commiss |
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| February 5, 2025 |
United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 January 15, 2025 Date of Report (Date of earliest event reported) SPI Energy Co., Ltd. (Exact Name of Registrant as Specified in its Charter) Cayman Islands 001-37678 20-4956638 (State or other jurisdiction of incorporation) (Commiss |
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| February 5, 2025 |
Exhibit 99.1 (For Immediate Attention) By email The Board of Directors SPI ENERGY CO., LTD. (the "Company") 15 January 2025 Dear Sirs NOTICE OF RESIGNATION I hereby inform you that I will resign from the Company as an independent director, the Chairman of Audit Committee, the members of Nominating and Corporate Governance Committee and Compensation Committee with effect from 16 January 2025. Durin |
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| January 15, 2025 |
United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 January 13, 2025 Date of Report (Date of earliest event reported) SPI Energy Co., Ltd. (Exact Name of Registrant as Specified in its Charter) Cayman Islands 001-37678 20-4956638 (State or other jurisdiction of incorporation) (Commiss |
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| January 10, 2025 |
Exhibit 10.2 GUARANTEE AGREEMENT 担保协议 THIS GUARANTEE AGREEMENT is entered into on 2 January, 2025 by and between: 本担保协议由以下各方于2025年1月2日签订： 1) Mr. XIAOFENG PENG with an address at 4741 Urbani Avenue, McClellan Park, California 95652 (“Guarantor”); and 彭小峰，住址位于4741 Urbani Avenue, McClellan Park, California 95652，（以下简称“担保人”） 2) Sinsin Europe Solar Asset Limited Partnership, a Cayman Islands corporatio |
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| January 10, 2025 |
Exhibit 10.3 SIDE LETTER To: 1. Sinsin Europe Solar Asset Limited Partnership Suite 716, 10, Market Street Grand Cayman KYI-9006 Cayman Islands 2. Sinsin Solar Capital Limited Partnership Suite 716, 10, Market Street Grand Cayman KYI-9006 Cayman Islands January 2, 2025 Dear Sirs, Reference is made to a Settlement Agreement (the “Settlement Agreement”) dated January 2, 2025, entered by and among: ( |
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| January 10, 2025 |
SPI Energy Announces Settlement Agreement with SINSIN Exhibit 99.1 SPI Energy Announces Settlement Agreement with SINSIN MCCLELLAN PARK, CA / January 10, 2025 / SPI Energy Co., Ltd., (NASDAQ: SPI) (the "Company"), a global renewable energy company and provider of solar storage solutions for business, residential, government, logistics and utility customers, today announced that it has entered into a settlement agreement (the “Settlement Agreement”) w |
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| January 10, 2025 |
Exhibit 10.1 SETTLEMENT AGREEMENT 和解协议 This Settlement Agreement (the “Settlement Agreement”) is dated 2 January, 2025 (the “Effective Date”) by and among: 这份和解协议（以下简称“和解协议”）2025年1月2日（以下简称“生效日期”）签署，由以下各方共同缔结： a)SPI Energy Co., Ltd, a Cayman Islands corporation with registered address at Maples Corporate Services Limited, PO Box 309, Ugland House, Grand Cayman, KY1-1104, Cayman Islands whose princi |
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| January 10, 2025 |
United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 January 2, 2025 Date of Report (Date of earliest event reported) SPI Energy Co., Ltd. (Exact Name of Registrant as Specified in its Charter) Cayman Islands 001-37678 20-4956638 (State or other jurisdiction of incorporation) (Commissi |
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| November 21, 2024 |
United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 20, 2024 Date of Report (Date of earliest event reported) SPI Energy Co., Ltd. (Exact Name of Registrant as Specified in its Charter) Cayman Islands 001-37678 20-4956638 (State or other jurisdiction of incorporation) (Commis |
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| November 21, 2024 |
SPI Energy Announces Receipt of Nasdaq Delist Determination Notice Exhibit 99.1 SPI Energy Announces Receipt of Nasdaq Delist Determination Notice MCCLELLAN PARK, CA / November 21, 2024 / SPI Energy Co., Ltd., (NASDAQ: SPI) (the "Company"), a global renewable energy company and provider of solar storage solutions for business, residential, government, logistics and utility customers, today announced that it received a letter from the Listing Qualifications Depart |
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| October 23, 2024 |
United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 October 23, 2024 Date of Report (Date of earliest event reported) SPI Energy Co., Ltd. (Exact Name of Registrant as Specified in its Charter) Cayman Islands 001-37678 20-4956638 (State or other jurisdiction of incorporation) (Commiss |
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| October 23, 2024 |
SPI Energy Announces Receipt of Nasdaq Delist Determination Notice Exhibit 99.1 SPI Energy Announces Receipt of Nasdaq Delist Determination Notice MCCLELLAN PARK, CA / ACCESSWIRE / October 23, 2024 / SPI Energy Co., Ltd., (NASDAQ: SPI) (the "Company"), a global renewable energy company and provider of solar storage solutions for business, residential, government, logistics and utility customers, today announced that it previously received a letter from the Listin |
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| October 17, 2024 |
United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 October 15, 2024 Date of Report (Date of earliest event reported) SPI Energy Co., Ltd. (Exact Name of Registrant as Specified in its Charter) Cayman Islands 001-37678 20-4956638 (State or other jurisdiction of incorporation) (Commiss |
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| August 26, 2024 |
SPI Energy Announces Receipt of Nasdaq Non-Compliance Notice Exhibit 99.1 SPI Energy Announces Receipt of Nasdaq Non-Compliance Notice MCCLELLAN PARK, CA / ACCESSWIRE / August 26, 2024 / SPI Energy Co., Ltd., (NASDAQ:SPI) (the "Company"), a global renewable energy company and provider of solar storage solutions for business, residential, government, logistics and utility customers, today announced that it received a notice (the “Notice”) from the Listing Qu |
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| August 26, 2024 |
United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 August 26, 2024 Date of Report (Date of earliest event reported) SPI Energy Co., Ltd. (Exact Name of Registrant as Specified in its Charter) Cayman Islands 001-37678 20-4956638 (State or other jurisdiction of incorporation) (Commissi |
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| May 21, 2024 |
SPI Energy Announces Receipt of Nasdaq Non-Compliance Notice Exhibit 99.1 SPI Energy Announces Receipt of Nasdaq Non-Compliance Notice MCCLELLAN PARK, CA / ACCESSWIRE / May 21, 2024 / SPI Energy Co., Ltd., (NASDAQ:SPI) (the "Company"), a global renewable energy company and provider of solar storage solutions for business, residential, government, logistics and utility customers, today announced that it received a notice (the “Notice”) from the Listing Quali |
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| May 21, 2024 |
United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 May 20, 2024 Date of Report (Date of earliest event reported) SPI Energy Co., Ltd. (Exact Name of Registrant as Specified in its Charter) Cayman Islands 001-37678 20-4956638 (State or other jurisdiction of incorporation) (Commission |
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| April 25, 2024 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 April 23, 2024 Date of Report (Date of earliest event reported) SPI Energy Co., Ltd. (Exact Name of Registrant as Specified in its Charter) Cayman Islands 001-37678 20-4956638 (State or other jurisdiction of incorporation) (Commissio |
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| April 22, 2024 |
SPI Energy Announces Receipt of Nasdaq Non-Compliance Notice Exhibit 99.1 SPI Energy Announces Receipt of Nasdaq Non-Compliance Notice MCCLELLAN PARK, CA / ACCESSWIRE / April 22, 2024 / SPI Energy Co., Ltd., (NASDAQ:SPI) (the "Company"), a global renewable energy company and provider of solar storage solutions for business, residential, government, logistics and utility customers, today announced that it received a notice (the “Notice”) from the Listing Qua |
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| April 22, 2024 |
United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 April 19, 2024 Date of Report (Date of earliest event reported) SPI Energy Co., Ltd. (Exact Name of Registrant as Specified in its Charter) Cayman Islands 001-37678 20-4956638 (State or other jurisdiction of incorporation) (Commissio |
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| April 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER 001-37678 CUSIP NUMBER G8651P110 (Check One): x Form 10-K ¨ Form 20-F ¨ Form 11-K ¨ Form 10-Q ¨ Form 10-D ¨ Form N-CEN ☐ Form N-CSR For Period Ended: December 31, 2023 [] Transition Report on Form 10-K [] Transition Report on Form 20-F [] Transition Report on Form 11-K [] |
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| March 20, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 March 6, 2024 Date of Report (Date of earliest event reported) SPI Energy Co., Ltd. (Exact Name of Registrant as Specified in its Charter) Cayman Islands 001-37678 20-4956638 (State or other jurisdiction of incorporation) (Commission |
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| March 20, 2024 |
Exhibit 10.1 DEED OF SETTLEMENT THIS DEED OF SETTLEMENT (the “Deed of Settlement”) is entered into on 6 March 2024, PREAMBLE BETWEEN: Streeterville Capital, LLC, with its principal place of business at 303 East Wacker Drive, Suite 1040, Chicago, Illinois, 60601, United States of America (“Streeterville”); and SPI Energy Co., Ltd., with its registered office at c/o Harneys Fiduciary (Cayman) Limite |
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| December 26, 2023 |
United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 December 22, 2023 Date of Report (Date of earliest event reported) SPI Energy Co., Ltd. (Exact Name of Registrant as Specified in its Charter) Cayman Islands 001-37678 20-4956638 (State or other jurisdiction of incorporation) (Commis |
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| December 18, 2023 |
Exhibit 10.3 STOCK PLEDGE AGREEMENT THIS STOCK PLEDGE AGREEMENT (this “Agreement”) is effective as of September 26, 2023, by and between PALO ALTO CLEAN TECH HOLDING LIMITED, a British Virgin Islands exempted company (“Debtor”), and EDISONFUTURE, INC., a Delaware corporation (“Secured Party”), with reference to the following facts: A. Debtor has executed and delivered to Secured Party a Secured Pr |
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| December 18, 2023 |
Exhibit 10.2 SECURED PROMISSORY NOTE $12,200,000 September 26, 2023 FOR VALUE RECEIVED, PALO ALTO CLEAN TECH HOLDING LIMITED, a British Virgin Islands exempted company (the “Maker”), hereby promises to pay to the order of EDISON FUTURE, INC.. or its successors and assigns (together with its successors and assigns, the “Holder”), the principal sum of Twelve Million Two Hundred Thousand Dollars ($12 |
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| December 18, 2023 |
United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K/A Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 18, 2023 (September 26, 2023) SPI Energy Co., Ltd. (Exact Name of Registrant as Specified in its Charter) Cayman Islands 001-37678 20-4956638 (State or other jurisdiction o |
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| December 12, 2023 |
SPI Announces Adjournment of Annual Meeting of Shareholders Due to Lack of Quorum Exhibit 99.1 SPI Announces Adjournment of Annual Meeting of Shareholders Due to Lack of Quorum MCCLELLAN PARK, CA, December 11, 2023 – SPI Energy Co., Ltd. (the “Company”) (NASDAQ: SPI), a global renewable energy company and provider of solar storage solutions for business, residential, government, logistics and utility customers, today announced that the Company’s 2023 Annual Meeting of Sharehold |
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| December 12, 2023 |
Financial Statements and Exhibits, Other Events United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 December 9, 2023 Date of Report (Date of earliest event reported) SPI Energy Co., Ltd. (Exact Name of Registrant as Specified in its Charter) Cayman Islands 001-37678 20-4956638 (State or other jurisdiction of incorporation) (Commiss |
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| November 29, 2023 |
SPI ENERGY CO., LTD. CONVERTIBLE PROMISSORY NOTE PURCHASE AGREEMENT Exhibit 10.2 SPI ENERGY CO., LTD. CONVERTIBLE PROMISSORY NOTE PURCHASE AGREEMENT This CONVERTIBLE PROMISSORY NOTE PURCHASE AGREEMENT (this “Agreement”), dated as of November 27, 2023, is entered into by and between SPI Energy Co., Ltd., a Cayman Islands company (the “Company”), and Hoong Khoeng Cheong, a Singapore Citizen (the “Investor”). The Company and the Investor are hereinafter collectively |
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| November 29, 2023 |
United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 27, 2023 Date of Report (Date of earliest event reported) SPI Energy Co., Ltd. (Exact Name of Registrant as Specified in its Charter) Cayman Islands 001-37678 20-4956638 (State or other jurisdiction of incorporation) (Commis |
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| November 29, 2023 |
SPI ENERGY CO., LTD. CONVERTIBLE PROMISSORY NOTE PURCHASE AGREEMENT Exhibit 10.1 SPI ENERGY CO., LTD. CONVERTIBLE PROMISSORY NOTE PURCHASE AGREEMENT This CONVERTIBLE PROMISSORY NOTE PURCHASE AGREEMENT (this “Agreement”), dated as of November 27, 2023, is entered into by and between SPI Energy Co., Ltd., a Cayman Islands company (the “Company”), and Palo Alto Clean Tech Holding Limited, a company established under the laws of British Virgin Islands (the “Investor”) |
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| November 29, 2023 |
SPI ENERGY CO., LTD. CONVERTIBLE PROMISSORY NOTE PURCHASE AGREEMENT Exhibit 10.3 SPI ENERGY CO., LTD. CONVERTIBLE PROMISSORY NOTE PURCHASE AGREEMENT This CONVERTIBLE PROMISSORY NOTE PURCHASE AGREEMENT (this “Agreement”), dated as of November 27, 2023, is entered into by and between SPI Energy Co., Ltd., a Cayman Islands company (the “Company”), and Janet Jie Chen, a Chinese Citizen (the “Investor”). The Company and the Investor are hereinafter collectively referre |
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| November 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file numbe |
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| November 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER 001-37678 CUSIP NUMBER G8651P110 (Check One): ¨ Form 10-K ¨ Form 20-F ¨ Form 11-K x Form 10-Q ¨Form 10-D ¨ Form N-CEN ¨ Form N-CSR For Period Ended: September 30, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Tra |
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| November 8, 2023 |
United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 8, 2023 (October 2, 2023) Date of Report (Date of earliest event reported) SPI Energy Co., Ltd. (Exact Name of Registrant as Specified in its Charter) Cayman Islands 001-37678 20-4956638 (State or other jurisdiction of incor |
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| November 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement. [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)). [X] Definitive |
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| October 20, 2023 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 October 19, 2023 Date of Report (Date of earliest event reported) SPI Energy Co., Ltd. (Exact Name of Registrant as Specified in its Charter) Cayman Islands 001-37678 20-4956638 (State or other jurisdiction of incorporation) (Commiss |
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| September 29, 2023 |
Exhibit 10.1 STOCK PURCHASE AGREEMENT THIS STOCK PURCHASE AGREEMENT (“Agreement”) is made and entered into as of September 26, 2023, by and between EdisonFuture, Inc., a Delaware corporation (the “Seller”), and Palo Alto Clean Tech Holding Limited, a British Virgin Islands exempted company (the “Purchaser”). WHEREAS, Phoenix Motor Inc., a Delaware corporation (the “Company”), has 21,291,924 shares |
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| September 29, 2023 |
United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 September 26, 2023 Date of Report (Date of earliest event reported) SPI Energy Co., Ltd. (Exact Name of Registrant as Specified in its Charter) Cayman Islands 001-37678 20-4956638 (State or other jurisdiction of incorporation) (Commi |
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| September 29, 2023 |
SPI Energy Announces Sale of Majority Stake in Phoenix Motor Exhibit 99.1 SPI Energy Announces Sale of Majority Stake in Phoenix Motor McClellan Park, CA / ACCESSWIRE / September 28, 2023 / SPI Energy Co., Ltd., (NASDAQ: SPI) (the "Company"), a global renewable energy company and provider of solar storage solutions for business, residential, government, logistics and utility customers, today announced the sale of 12 million shares of its subsidiary, Phoenix |
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| September 29, 2023 |
Exhibit 10.3 STOCK PLEDGE AGREEMENT THIS STOCK PLEDGE AGREEMENT (this “Agreement”) is effective as of September 26, 2023, by and between PALO ALTO CLEAN TECH HOLDING LIMITED, a British Virgin Islands exempted company (“Debtor”), and EDISONFUTURE, INC., a Delaware corporation (“Secured Party”), with reference to the following facts: A. Debtor has executed and delivered to Secured Party a Secured Pr |
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| September 29, 2023 |
Exhibit 10.2 SECURED PROMISSORY NOTE $12,200,000 September 26, 2023 FOR VALUE RECEIVED, PALO ALTO CLEAN TECH HOLDING LIMITED, a British Virgin Islands exempted company (the “Maker”), hereby promises to pay to the order of EDISON FUTURE, INC.. or its successors and assigns (together with its successors and assigns, the “Holder”), the principal sum of Twelve Million Two Hundred Thousand Dollars ($12 |
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| August 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0- |
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| August 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER 001-37678 CUSIP NUMBER G8651P110 (Check One): ¨ Form 10-K ¨ Form 20-F ¨ Form 11-K x Form 10-Q ¨Form 10-D ¨ Form N-CEN ¨ Form N-CSR For Period Ended: June 30, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transiti |
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| May 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0 |
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| May 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER 001-37678 CUSIP NUMBER G8651P110 (Check One): ¨ Form 10-K ¨ Form 20-F ¨ Form 11-K x Form 10-Q ¨ Form 10-D ¨ Form N-CEN ¨ Form N-CSR For Period Ended: March 31, 2023 [] Transition Report on Form 10-K [] Transition Report on Form 20-F [] Transition Report on Form 11-K [] Tr |
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| April 14, 2023 |
List of Subsidiaries All of the direct and indirect subsidiaries of the Company are set forth as below: Subsidiaries Place of Incorporation Percentage of ownership SPI Energy Co. |
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| April 14, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C., 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File No. 0-30351 SPI Energy Co., Ltd. (Exact name of registrant as |
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| April 14, 2023 |
Exhibit 4.3 DESCRIPTION OF SECURITIES OF SPI ENERGY The following description of the material terms of SPI Energy’s ordinary shares. This description is qualified by reference to the amended and restated form of memorandum of association and articles of association of SPI Energy, which are attached as an exhibit to SPI’s annual report. You are encouraged to read the relevant provisions of the Comp |
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| March 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER 001-37678 CUSIP NUMBER G8651P110 (Check One): x Form 10-K ¨ Form 20-F ¨ Form 11-K ¨ Form 10-Q ¨ Form 10-D ¨ Form N-CEN ☐ Form N-CSR For Period Ended: December 31, 2022 [] Transition Report on Form 10-K [] Transition Report on Form 20-F [] Transition Report on Form 11-K [] |
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| February 3, 2023 |
Calculation of Filing Fee Table Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) SPI Energy Co., Ltd. (Exact Name of Registrant as Specified in its Charter) Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Share(2) Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Ordinary Share, $0.0001 par value |
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| February 3, 2023 |
As filed with the Securities and Exchange Commission on February 3, 2023 As filed with the Securities and Exchange Commission on February 3, 2023 Registration No. |
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| December 23, 2022 |
Form of Securities Purchase Agreement Exhibit 10.1 PURCHASE AGREEMENT This Purchase Agreement (this ?Agreement?), dated as of December 22, 2022, is by and between Hoong Khoeng Cheong, a citizen of Singapore with passport number of A55194358 (the ?Purchaser?), and SPI Energy Co., Ltd., a company incorporated under the laws of the Cayman Islands (the ?Company?). Each of the Purchaser and the Company is referred to herein each as a ?Part |
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| December 23, 2022 |
United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 December 22, 2022 Date of Report (Date of earliest event reported) SPI Energy Co., Ltd. (Exact Name of Registrant as Specified in its Charter) Cayman Islands 001-37678 20-4956638 (State or other jurisdiction of incorporation) (Commis |
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| December 23, 2022 |
SPI Energy Completes Private Placement of Ordinary Shares Totaling US$ 1.16 Million Exhibit 99.1 SPI Energy Completes Private Placement of Ordinary Shares Totaling US$ 1.16 Million McClellan Park, CA / ACCESSWIRE / December 23, 2022 / SPI Energy Co., Ltd., (NASDAQ: SPI) (the "Company"), a global renewable energy company and provider of solar storage and electric vehicle (EV) solutions for business, residential, government, logistics and utility customers, today announced the entr |
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| December 23, 2022 |
Form of Securities Purchase Agreement Exhibit 10.2 PURCHASE AGREEMENT This Purchase Agreement (this ?Agreement?), dated as of December 22, 2022, is by and between LDK New Energy Holding Limited, a company incorporated under the laws of British Virgin Islands (the ?Purchaser?), and SPI Energy Co., Ltd., a company incorporated under the laws of the Cayman Islands (the ?Company?). Each of the Purchaser and the Company is referred to here |
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| December 12, 2022 |
United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 December 9, 2022 Date of Report (Date of earliest event reported) SPI Energy Co., Ltd. (Exact Name of Registrant as Specified in its Charter) Cayman Islands 001-37678 20-4956638 (State or other jurisdiction of incorporation) (Commiss |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file numbe |
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| November 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER 001-37678 CUSIP NUMBER G8651P110 (Check One): o Form 10-K ¨ Form 20-F ¨ Form 11-K x Form 10-Q ¨ Form N-SAR ¨ Form N-CSR For Period Ended: September 30, 2022 [] Transition Report on Form 10-K [] Transition Report on Form 20-F [] Transition Report on Form 11-K [] Transition |
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| November 2, 2022 |
Amendment to Convertible Promissory Note, dated October 28, 2022 Exhibit 4.1 AMENDMENT TO CONVERTIBLE PROMISSORY NOTE This Amendment to Convertible Promissory Note (this “Amendment”) is entered into as of October 28, 2022, by and between Streeterville Capital, LLC, a Utah limited liability company (“Lender”), and SPI Energy Co., Ltd., a Cayman Islands corporation (“Borrower”). Capitalized terms used in this Amendment without definition shall have the meanings g |
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| November 2, 2022 |
Amendment to Convertible Promissory Note, dated October 28, 2022 Exhibit 4.2 AMENDMENT TO CONVERTIBLE PROMISSORY NOTE This Amendment to Convertible Promissory Note (this “Amendment”) is entered into as of October 28, 2022, by and between Streeterville Capital, LLC, a Utah limited liability company (“Lender”), and SPI Energy Co., Ltd., a Cayman Islands corporation (“Borrower”). Capitalized terms used in this Amendment without definition shall have the meanings g |
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| November 2, 2022 |
Amendment to Convertible Promissory Note, dated October 28, 2022 Exhibit 4.3 AMENDMENT TO CONVERTIBLE PROMISSORY NOTE This Amendment to Convertible Promissory Note (this “Amendment”) is entered into as of October 28, 2022, by and between Streeterville Capital, LLC, a Utah limited liability company (“Lender”), and SPI Energy Co., Ltd., a Cayman Islands corporation (“Borrower”). Capitalized terms used in this Amendment without definition shall have the meanings g |
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| November 2, 2022 |
United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 October 28, 2022 Date of Report (Date of earliest event reported) SPI Energy Co., Ltd. (Exact Name of Registrant as Specified in its Charter) Cayman Islands 001-37678 20-4956638 (State or other jurisdiction of incorporation) (Commiss |
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| November 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement. [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)). [X] Definitiv |
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| October 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement. [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)). [ ] Definitiv |
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| August 31, 2022 |
SPI Energy Co., Ltd. 4803 Urbani Ave., McClellan Park, CA 95652 SPI Energy Co., Ltd. 4803 Urbani Ave., McClellan Park, CA 95652 RE: SPI Energy Co., Ltd. (?Company?) Request for Withdrawal Registration Statement on Form F-3 File. no. 333-253233 (the ?Registration Statement?) Ladies and gentlemen: Pursuant to Securities Act Rule 477, Company respectfully requests withdrawal of the referenced registration statement, declared effective June 28, 2021. No offers or |
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| August 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0- |
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| August 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER 001-37678 CUSIP NUMBER G8651P110 (Check One): o Form 10-K ? Form 20-F ? Form 11-K x Form 10-Q ? Form N-SAR ? Form N-CSR For Period Ended: June 30, 2022 [] Transition Report on Form 10-K [] Transition Report on Form 20-F [] Transition Report on Form 11-K [] Transition Repo |
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| May 13, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0 |
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| May 10, 2022 |
Financial Statements and Exhibits, Other Events United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 May 9, 2022 Date of Report (Date of earliest event reported) SPI Energy Co., Ltd. (Exact Name of Registrant as Specified in its Charter) Cayman Islands 001-37678 20-4956638 (State or other jurisdiction of incorporation) (Commission F |
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| May 10, 2022 |
Exhibit 99.1 SPI Energy Relocates Its Corporate Headquarters to Sacramento County, California Sacramento headquarters is ideally situated to support the Company?s rapidly growing US solar module manufacturing strategy SACRAMENTO, CA / ACCESSWIRE / MAY 9, 2022 / SPI Energy Co., Ltd. ("SPI Energy" or the "Company") (NASDAQ: SPI), a global renewable energy company and provider of solar storage and el |
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| May 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER 001-37678 CUSIP NUMBER G8651P110 (Check One): o Form 10-K ? Form 20-F ? Form 11-K x Form 10-Q ? Form N-SAR ? Form N-CSR For Period Ended: March 31, 2022 [] Transition Report on Form 10-K [] Transition Report on Form 20-F [] Transition Report on Form 11-K [] Transition Rep |
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| April 11, 2022 |
United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 April 8, 2022 Date of Report (Date of earliest event reported) SPI Energy Co., Ltd. (Exact Name of Registrant as Specified in its Charter) Cayman Islands 001-37678 20-4956638 (State or other jurisdiction of incorporation) (Commission |
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| April 11, 2022 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this ?Agreement?), dated as of April 8, 2022, is entered into by and between SPI ENERGY CO., LTD., a Cayman Islands corporation (?Company?), and STREETERVILLE CAPITAL, LLC, a Utah limited liability company, its successors and/or assigns (?Investor?). A. Company and Investor are executing and delivering this Agreement in |
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| April 11, 2022 |
Convertible Promissory Note, dated April 8, 2022 Exhibit 4.1 CONVERTIBLE PROMISSORY NOTE Effective Date: April 8, 2022 U.S. $2,110,000.00 FOR VALUE RECEIVED, SPI ENERGY CO., LTD., a Cayman Islands corporation (?Borrower?), promises to pay to STREETERVILLE CAPITAL, LLC, a Utah limited liability company, or its successors or assigns (?Lender?), $2,110,000.00 and any interest, fees, charges, and late fees accrued hereunder on the date that is twelv |
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| April 1, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C., 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File No. 0-30351 SPI Energy Co., Ltd. (Exact name of registrant as |
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| April 1, 2022 |
Exhibit 4.3 DESCRIPTION OF SHARE CAPITAL OF SPI ENERGY The following description of the material terms of SPI Energy?s ordinary shares. This description is qualified by reference to the amended and restated form of memorandum of association and articles of association of SPI Energy, which are attached as an exhibit to SPI?s annual report. You are encouraged to read the relevant provisions of the C |
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| March 24, 2022 |
SPI Energy’s Phoenix Motorcars Appoints Former Daimler and Karma Automotive Executive as its New CEO Exhibit 99.1 SPI Energy?s Phoenix Motorcars Appoints Former Daimler and Karma Automotive Executive as its New CEO SANTA CLARA, CA / March 24, 2022 SPI Energy Co., Ltd. (NASDAQ:SPI), a global renewable energy company and provider of solar storage and electric vehicle (EV) solutions for business, residential, government, logistics and utility customers and investors, today announced its wholly owned |
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| March 24, 2022 |
Financial Statements and Exhibits, Other Events United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 March 24, 2022 Date of Report (Date of earliest event reported) SPI Energy Co., Ltd. (Exact Name of Registrant as Specified in its Charter) Cayman Islands 001-37678 N/A (State or other jurisdiction of incorporation) (Commission File |
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| March 23, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER 001 37678 CUSIP NUMBER G8651P110 (Check One): x Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form N-SAR ? Form N-CSR For Period Ended: December 31, 2021 [] Transition Report on Form 10-K [] Transition Report on Form 20-F [] Transition Report on Form 11-K [] Transition |
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| November 23, 2021 |
Exhibit 15.2 Independent Registered Public Accounting Firm’s Consent We consent to the inclusion in this Annual Report of SPI Energy Co., Ltd. on Form 20-F, including Amendment No 2, File No. 001-37678 of our report dated April 29, 2021, with respect to our audits to the consolidated financial statements of SPI Energy Co., Ltd. as of December 31, 2020 and 2019 and for the years ended December 31, |
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| November 23, 2021 |
SPI ENERGY CO., LTD. 4677 Old Ironsides Drive, Suite 190, Santa Clara, CA 95054 SPI ENERGY CO., LTD. 4677 Old Ironsides Drive, Suite 190, Santa Clara, CA 95054 November 23, 2021 Via Edgar U.S. Securities and Exchange Commission Division of Corporation Finance Office of Manufacturing Washington, D.C. 20549 Attention: Eiko Yaoita Pyles Re: SPI Energy Co., Ltd. Form 20-F for the Fiscal Year Ended December 31, 2020 Filed April 29, 2021 Amendment No. 1 to Form 20-F for the Fiscal |
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| November 23, 2021 |
Consent of Independent Registered Public Accounting Firm—Marcum Bernstein & Pinchuk LLP EX-15.1 4 spiex1501.htm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 15.1 INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM’S CONSENT We consent to the incorporation by reference in the Registration Statement of SPI Energy Co., Ltd. on Form S-8 (FILE NO. 333-203917) and its Post-Effective Amendment No.1, Form S-8 (FILE NO. 333-250024) and Form F-3 (FILE NO. 333-253233), of our repo |
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| November 23, 2021 |
Exhibit 12.1 Certification by the Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Xiaofeng Peng, certify that: 1. I have reviewed this Amendment No. 2 to annual report on Form 20-F of SPI Energy Co., Ltd. (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 |
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| November 23, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F (Amendment No. 2) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F (Amendment No. 2) (Mark One) ? 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 the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTI |
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| November 23, 2021 |
Exhibit 13.1 Certification by the Chief Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 In connection with this Amendment No. 2 to annual report on Form 20-F of SPI Energy Co., Ltd. (the ?Company?) for the fiscal year ended December 31, 2020 as filed with the Securities and Exchange Commission on the date hereof (the ?Report?), I, Xiaofeng Peng, Chief Executive Officer |
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| November 15, 2021 |
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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of November 2021 Commission File No. |
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| November 15, 2021 |
Form of Convertible Promissory Note Exhibit 10.2 CONVERTIBLE PROMISSORY NOTE Effective Date: November 12, 2021 U.S. $4,210,000.00 FOR VALUE RECEIVED, SPI Energy Co., Ltd., a Cayman Islands corporation (?Borrower?), promises to pay to Streeterville Capital, LLC, a Utah limited liability company, or its successors or assigns (?Lender?), $4,210,000.00 and any interest, fees, charges, and late fees accrued hereunder on the date that is |
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| November 15, 2021 |
Form of Securities Purchase Agreement Exhibit 10.1 Securities Purchase Agreement This Securities Purchase Agreement (this ?Agreement?), dated as of November 12, 2021, is entered into by and between SPI Energy Co., Ltd., a Cayman Islands corporation (?Company?), and Streeterville Capital, LLC, a Utah limited liability company, its successors and/or assigns (?Investor?). A. Company and Investor are executing and delivering this Agreemen |
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| November 8, 2021 |
Exhibit 99.1 SPI ENERGY CO., LTD. UNAUDITED CONDENSED CONSOLIDATED BALANCE SHEETS (In thousands, except for share and per share data) June 30, 2021 December 31, 2020 ASSETS Current assets: Cash and cash equivalents $ 22,846 $ 38,882 Restricted cash 2,238 900 Accounts receivable, net 26,903 17,061 Contract assets 2,398 ? Inventories, net 23,196 17,260 Prepaid expenses and other current assets, net |
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| November 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 November 2021 Commission File No. |
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| November 5, 2021 |
Exhibit 99.1 SPI Energy Relocates Corporate Headquarters to Santa Clara, California New Headquarters ideally situated to support the Company?s rapidly growing US solar operations and EV segment. SANTA CLARA, CA / November 5, 2021 SPI Energy Co., Ltd. ("SPI Energy" or the "Company") (NASDAQ: SPI), a global renewable energy company and provider of solar storage and electric vehicle (EV) solutions fo |
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| November 5, 2021 |
Exhibit 99.1 SPI ENERGY CO., LTD. UNAUDITED CONDENSED CONSOLIDATED BALANCE SHEETS (In thousands, except for share and per share data) June 30, 2021 December 31, 2020 ASSETS Current assets: Cash and cash equivalents $ 22,846 $ 38,882 Restricted cash 2,238 900 Accounts receivable, net 26,903 17,061 Contract assets 2,398 Inventories, net 23,196 17,260 Prepaid expenses and other current assets, net 11 |
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| November 5, 2021 |
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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of November 2021 Commission File No. |
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| November 5, 2021 |
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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of November 2021 Commission File No. |
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| October 29, 2021 |
Consent of Independent Registered Public Accounting Firm—Marcum Bernstein & Pinchuk LLP EX-15.2 4 spiex1502.htm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM - MARCUM BERNSTEIN & PINCHUK LLP Exhibit 15.2 Independent Registered Public Accounting Firm’s Consent We consent to the inclusion in this Annual Report of SPI Energy Co., Ltd. on Form 20-F, includes Amendment No 1, File No. 001-37678 of our report dated April 29, 2021, with respect to our audits to the consolidated fi |
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| October 29, 2021 |
SPI Energy Co., Ltd. #1128, 11/F, No. 52 Hung To Road Kwun Tong, Kowloon Hong Kong SAR, China SPI Energy Co., Ltd. #1128, 11/F, No. 52 Hung To Road Kwun Tong, Kowloon Hong Kong SAR, China October 29, 2021 Via Edgar U.S. Securities and Exchange Commission Division of Corporation Finance Washington, D.C. 20549 Attention: Eiko Yaoita Pyles Re: SPI Energy Co., Ltd. Form 20-F for the Fiscal Year Ended December 31, 2020 Filed April 29, 2021 File No. 001-37678 Dear Ms. Pyles: We have set forth be |
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| October 29, 2021 |
Consent of Independent Registered Public Accounting Firm—Marcum Bernstein & Pinchuk LLP EX-15.1 3 spiex1501.htm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM - MARCUM BERNSTEIN & PINCHUK LLP Exhibit 15.1 INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM’S CONSENT We consent to the incorporation by reference in the Registration Statement of SPI Energy Co., Ltd. on Form S-8 [FILE NO. 333-203917] and its Post-Effective Amendment No.1, Form S-8 [FILE NO. 333-250024] and Form F-3 [ |
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| October 29, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F (Amendment No. 1) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F (Amendment No. 1) (Mark One) ? 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 the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTI |
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| October 29, 2021 |
Exhibit 4.85 |
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| October 25, 2021 |
SPI Energy Co., Ltd. #1128, 11/F, No. 52 Hung To Road Kwun Tong, Kowloon Hong Kong SAR, China SPI Energy Co., Ltd. #1128, 11/F, No. 52 Hung To Road Kwun Tong, Kowloon Hong Kong SAR, China Via Edgar October 25, 2021 Eiko Yaoita Pyles U.S. Securities and Exchange Commission Division of Corporation Finance Washington, D.C. 20549 Re: SPI Energy Co., Ltd. Form 20-F for the Fiscal Year Ended December 31, 2020 Filed April 29, 2021 File No. 001-37678 Dear Ms. Pyles: SPI Energy Co., Ltd. (the ?Comp |
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| October 14, 2021 |
SPI Energy Co., Ltd. #1128, 11/F, No. 52 Hung To Road Kwun Tong, Kowloon Hong Kong SAR, China SPI Energy Co., Ltd. #1128, 11/F, No. 52 Hung To Road Kwun Tong, Kowloon Hong Kong SAR, China Via Edgar October 14, 2021 Eiko Yaoita Pyles U.S. Securities and Exchange Commission Division of Corporation Finance Washington, D.C. 20549 Re: SPI Energy Co., Ltd. Form 20-F for the Fiscal Year Ended December 31, 2020 Filed April 29, 2021 File No. 001-37678 Dear Mr. Pyles: SPI Energy Co., Ltd. (the ?Comp |
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| October 4, 2021 |
Form of Convertible Promissory Note Exhibit 10.2 CONVERTIBLE PROMISSORY NOTE Effective Date: September 30, 2021 U.S. $4,210,000.00 FOR VALUE RECEIVED, SPI Energy Co., Ltd., a Cayman Islands corporation (?Borrower?), promises to pay to Streeterville Capital, LLC, a Utah limited liability company, or its successors or assigns (?Lender?), $4,210,000.00 and any interest, fees, charges, and late fees accrued hereunder on the date that is |
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| October 4, 2021 |
Form of Securities Purchase Agreement Exhibit 10.1 Securities Purchase Agreement This Securities Purchase Agreement (this ?Agreement?), dated as of September 30, 2021, is entered into by and between SPI Energy Co., Ltd., a Cayman Islands corporation (?Company?), and Streeterville Capital, LLC, a Utah limited liability company, its successors and/or assigns (?Investor?). A. Company and Investor are executing and delivering this Agreeme |
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| October 4, 2021 |
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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of September 2021 Commission File No. |
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| July 19, 2021 |
SPI Appoints 30+ Year Finance and Law Veteran Randolph Conone as SVP Investor Relations and Finance Exhibit 99.1 SPI Appoints 30+ Year Finance and Law Veteran Randolph Conone as SVP Investor Relations and Finance SANTA CLARA, CA / July 19, 2021 SPI Energy Ltd. (NASDAQ:SPI), SPI Energy Co., Ltd. ("SPI Energy" or the "Company") (NASDAQ: SPI), a global renewable energy company and provider of solar storage and electric vehicle (EV) solutions for business, residential, government, logistics and util |
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| July 19, 2021 |
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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of July 2021 Commission File No. |
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| June 24, 2021 |
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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of June 2021 Commission File No. |
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| June 24, 2021 |
Exhibit 99.1 SPI Appoints 20+ Year Finance Veteran Janet Jie Chen as CFO SVP Finance Chris Wang Appointed as CFO of Phoenix Motorcars Santa Clara, CA / June 24, 2021 SPI Energy Co., Ltd. (NASDAQ:SPI), a global renewable energy company and provider of solar storage and electric vehicle (EV) solutions for business, residential, government, logistics and utility customers and investors, today announc |
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| June 23, 2021 |
SPI ENERGY CO., LTD. #1128, 11/F, No. 52 Hung To Road Kwun Tong, Kowloon Hong Kong S.A.R. SPI ENERGY CO., LTD. #1128, 11/F, No. 52 Hung To Road Kwun Tong, Kowloon Hong Kong S.A.R. June 23, 2021 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 RE: SPI Energy Co., Ltd. (the ?Company?) Registration Statement on Form F-3 File No. 333-253233 Ladies and Gentlemen: In accordance with Rule 461 under the Securities Act of 1933, |
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| June 16, 2021 |
As filed with the Securities and Exchange Commission on June 16, 2021 As filed with the Securities and Exchange Commission on June 16, 2021 Registration No. |
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| June 10, 2021 |
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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of June 2021 Commission File No. |
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| June 10, 2021 |
Form of Convertible Promissory Note Exhibit 10.2 CONVERTIBLE PROMISSORY NOTE Effective Date: June 9, 2021 U.S. $4,210,000.00 FOR VALUE RECEIVED, SPI Energy Co., Ltd., a Cayman Islands corporation (?Borrower?), promises to pay to Streeterville Capital, LLC, a Utah limited liability company, or its successors or assigns (?Lender?), $4,210,000.00 and any interest, fees, charges, and late fees accrued hereunder on the date that is twelv |
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| June 10, 2021 |
Form of Securities Purchase Agreement Exhibit 10.1 Securities Purchase Agreement This Securities Purchase Agreement (this ?Agreement?), dated as of June 9, 2021, is entered into by and between SPI Energy Co., Ltd., a Cayman Islands corporation (?Company?), and Streeterville Capital, LLC, a Utah limited liability company, its successors and/or assigns (?Investor?). A. Company and Investor are executing and delivering this Agreement in |
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| June 3, 2021 |
SPI ENERGY CO., LTD. #1128, 11/F, No. 52 Hung To Road Kwun Tong, Kowloon Hong Kong S.A.R. June 3, 2021 Via EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F. Street, N.E. Washington, D.C. 20549 Re: SPI Energy Co., Ltd. Withdrawal of Acceleration Request ? Registration Statement on Form F-3 (File No. 333-253233) Ladies and Gentlemen: Reference is made to the letter |
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| May 24, 2021 |
SPI ENERGY CO., LTD. #1128, 11/F, No. 52 Hung To Road Kwun Tong, Kowloon Hong Kong S.A.R. SPI ENERGY CO., LTD. #1128, 11/F, No. 52 Hung To Road Kwun Tong, Kowloon Hong Kong S.A.R. May 24, 2021 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 RE: SPI Energy Co., Ltd. (the ?Company?) Registration Statement on Form F-3 File No. 333-253233 Ladies and Gentlemen: In accordance with Rule 461 under the Securities Act of 1933, |
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| April 29, 2021 |
SPI Energy Co., Ltd. Equity Incentive Plan for Phoenix Motorcars Employees Exhibit 4.83 SPI Energy Co., Ltd. Equity Incentive Plan for Phoenix Motorcars Employees |
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| April 29, 2021 |
Exhibit 12.1 Certification by the Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Xiaofeng Peng, certify that: 1. I have reviewed this annual report on Form 20-F of SPI Energy Co., Ltd. (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 |
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| April 29, 2021 |
Consent of Independent Registered Public Accounting Firm—Marcum Bernstein & Pinchuk LLP Exhibit 15.1 Independent Registered Public Accounting Firm?s Consent We consent to the incorporation by reference in the Registration Statement of SPI Energy Co., Ltd. on Form S-8 [FILE NO. 333-203917] and its Post-Effective Amendment No.1, Form S-8 [FILE NO. 333-250024] and Form F-3 [FILE NO. 333-253233], of our report dated April 29, 2021, with respect to our audits of the consolidated financial |
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| April 29, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F (Mark One) ? 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 the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF |
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| April 29, 2021 |
Exhibit 13.1 Certification by the Chief Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 In connection with this annual report on Form 20-F of SPI Energy Co., Ltd. (the “Company”) for the fiscal year ended December 31, 2020 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Xiaofeng Peng, Chief Executive Officer of the Company, cer |
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| April 16, 2021 |
CORRESP 1 filename1.htm SPI ENERGY CO., LTD. #1128, 11/F, No. 52 Hung To Road Kwun Tong, Kowloon Hong Kong S.A.R. April 16, 2021 Via EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F. Street, N.E. Washington, D.C. 20549 Re: SPI Energy Co., Ltd. Withdrawal of Acceleration Request – Registration Statement on Form F-3 (File No. 333-253233) Ladies and Gentlemen: Refer |
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| April 14, 2021 |
SPI ENERGY CO., LTD. #1128, 11/F, No. 52 Hung To Road Kwun Tong, Kowloon Hong Kong S.A.R. SPI ENERGY CO., LTD. #1128, 11/F, No. 52 Hung To Road Kwun Tong, Kowloon Hong Kong S.A.R. April 14, 2021 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 RE: SPI Energy Co., Ltd. (the ?Company?) Registration Statement on Form F-3 File No. 333-253233 Ladies and Gentlemen: In accordance with Rule 461 under the Securities Act of 1933 |
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| April 1, 2021 |
Current Report of Foreign Issuer - FORM 6-K 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of April 2021 Commission File No. |
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| April 1, 2021 |
SPI Energy Announces Full Repayment of Convertible Promissory Note Exhibit 99.1 SPI Energy Announces Full Repayment of Convertible Promissory Note SANTA CLARA, CA / April 1, 2021 - SPI Energy Co., Ltd. ("SPI Energy" or the "Company") (NASDAQ: SPI), a global renewable energy company and provider of solar storage and electric vehicle (EV) solutions for business, residential, government, logistics and utility customers and investors, today announced that it has full |
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| March 4, 2021 |
SPI Energy Completes Purchase of Petersen-Dean Assets Exhibit 99.1 SPI Energy Completes Purchase of Petersen-Dean Assets SANTA CLARA, CA / March 1, 2021 / SPI Energy Co., Ltd., (NASDAQ:SPI) (the "Company"), a global renewable energy company and provider of solar storage and electric vehicle (EV) solutions for business, residential, government, logistics and utility customers and investors, today announced that Solarjuice American, Inc. (“Solarjuice A |
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| March 4, 2021 |
Exhibit 10.1 ASSET PURCHASE AND SALE AGREEMENT BY AND BETWEEN PETERSEN-DEAN, INC., BEACHHEAD ROOFING & SUPPLY, INC., CALIFORNIA EQUIPMENT LEASING ASSOCIATION, INC., SOLAR 4 AMERICA, INC., FENCES 4 AMERICA, INC., JAMES PETERSEN INDUSTRIES, INC., PD SOLAR, INC., SONOMA ROOFING SERVICES, INC., PETERSEN ROOFING AND SOLAR LLC, PETERSENDEAN TEXAS, INC., RED ROSE, INC., ROOFS 4 AMERICA, INC., TRI- VALLEY |
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| March 4, 2021 |
Current Report of Foreign Issuer - FORM 6-K 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of February 2021 Commission File No. |
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| February 18, 2021 |
As filed with the Securities and Exchange Commission on February 18, 2021 Registration No. |
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| February 11, 2021 |
Form of Securities Purchase Agreement Exhibit 10.1 FORM OF SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of February 8, 2021, between SPI Energy Co., Ltd., a Cayman Islands exempt company (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the term |
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| February 11, 2021 |
Exhibit 1.1 February 8, 2021 PERSONAL AND CONFIDENTIAL Denton Peng Chairman & CEO SPI Energy Co., Ltd 4667 Old Ironside Drive Santa Clara, CA 95054 Dear Mr. Peng: Introduction. Subject to the terms and conditions herein (this “Agreement”), SPI Energy Co., Ltd. (the “Company”), hereby agrees to sell 1,365,375 registered shares (the “Shares”) of ordinary shares par value $0.00001 per share (the “Ord |
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| February 11, 2021 |
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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of February 2021 Commission File No. |
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| February 11, 2021 |
SPI Energy Announces Closing of $14.7 million At-the-Market Registered Direct Offering Exhibit 99.1 SPI Energy Announces Closing of $14.7 million At-the-Market Registered Direct Offering SANTA CLARA, CA / ACCESSWIRE / February 10, 2021 / SPI Energy Co., Ltd., (NASDAQ:SPI) (the "Company", “we” or “SPI”), a global renewable energy company and provider of photovoltaic (PV) and electric vehicle (EV) solutions for business, residential, government, logistics and utility customers and inv |
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| February 10, 2021 |
As filed with the Securities and Exchange Commission on February 10, 2021 Registration No. |
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| February 10, 2021 |
SPI ENERGY CO., LTD. 1,365,375 Ordinary Shares Filed pursuant to Rule 424(b)(5) Registration nos. 333-240289 and 333-252930 Prospectus Supplement (To Prospectus dated September 30, 2020) SPI ENERGY CO., LTD. 1,365,375 Ordinary Shares We are offering 1,365,375 ordinary shares, par value $0.0001 per share, directly to certain institutional investors in this offering at a price of $10.79 per ordinary share pursuant to this prospectus supplement a |
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| February 2, 2021 |
Exhibit 10.2 CONVERTIBLE PROMISSORY NOTE Effective Date: February 1, 2021 U.S. $4,210,000.00 FOR VALUE RECEIVED, SPI ENERGY CO., LTD., a Cayman Islands corporation (“Borrower”), promises to pay to STREETERVILLE CAPITAL, LLC, a Utah limited liability company, or its successors or assigns (“Lender”), $4,210,000.00 and any interest, fees, charges, and late fees accrued hereunder on the date that is t |
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| February 2, 2021 |
SPI Energy Issues $4.21 Million 10% Convertible Promissory Note with $20 per Share Conversion Price Exhibit 99.1 SPI Energy Issues $4.21 Million 10% Convertible Promissory Note with $20 per Share Conversion Price SANTA CLARA, CA / ACCESSWIRE / Feb 2, 2021 / SPI Energy Co., Ltd., (NASDAQ:SPI) (the "Company"), a global renewable energy company and provider of solar storage and electric vehicle (EV) solutions for business, residential, government, logistics and utility customers and investors, toda |
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| February 2, 2021 |
Exhibit 10.1 SE C U R I T I E S PU R C H A S E AG R E E M E N T THIS SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of February 1, 2021, is entered into by and between SPI ENERGY CO., LTD., a Cayman Islands corporation (“Company”), and STREETERVILLE CAPITAL, LLC, a Utah limited liability company, its successors and/or assigns (“Investor”). A. Company and Investor are executing and deli |
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| February 2, 2021 |
Current Report of Foreign Issuer - FORM 6-K 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of February 2021 Commission File No. |
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| January 28, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* SPI Energy Co., Ltd. (Name of Issuer) Ordinary Shares, par value $0.0001 (Title of Class of Securities) G8651P110 (CUSIP Number) December 31, 2020 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant to which |
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| January 27, 2021 |
SPI Energy Announces Board Approval to Spin Off Phoenix Motorcars Exhibit 99.1 SPI Energy Announces Board Approval to Spin Off Phoenix Motorcars SANTA CLARA, CA / ACCESSWIRE / January 27, 2021 / SPI Energy Co., Ltd., (NASDAQ:SPI) (the "Company"), a global renewable energy company and provider of solar storage and electric vehicle (EV) solutions for business, residential, government, logistics and utility customers and investors, today announced its Board of Dire |
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| January 27, 2021 |
Current Report of Foreign Issuer - FORM 6-K 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of January 2021 Commission File No. |
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| January 20, 2021 |
Current Report of Foreign Issuer - FORM 6-K 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of January 2021 Commission File No. |
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| January 20, 2021 |
SPI ENERGY AND ICONA DESIGN TO COLLABORATE ON ALL-ELECTRIC PASSENGER AND COMMERCIAL VEHICLE DESIGNS Exhibit 99.1 SPI ENERGY AND ICONA DESIGN TO COLLABORATE ON ALL-ELECTRIC PASSENGER AND COMMERCIAL VEHICLE DESIGNS Ontario, CA. SPI Energy Ltd. (NASDAQ:SPI) subsidiary EdisonFuture and world-leading automotive design company Icona Design (“Icona”) announced the beginning of a collaboration to design a range of next generation all-electric vehicles for both passenger and commercial applications. The |
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| January 6, 2021 |
Exhibit 99.1 SPI Energy Acquires Consumer Contracts of Petersen-Dean, One of the Largest Full-Service, Privately-Held Roofing and Solar Companies in the US SANTA CLARA, CA / ACCESSWIRE / January 6, 2021 / SPI Energy Co., Ltd., (NASDAQ:SPI) (the "Company"), a global renewable energy company and provider of photovoltaic (PV) and electric vehicle (EV) solutions for business, residential, government, |
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| January 6, 2021 |
Current Report of Foreign Issuer - FORM 6-K 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of January 2021 Commission File No. |
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| December 16, 2020 |
Current Report of Foreign Issuer - FORM 6-K 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of December 2020 Commission File No. |
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| December 7, 2020 |
Current Report of Foreign Issuer - FORM 6-K 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of December 2020 Commission File No. |
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| December 7, 2020 |
SPI Energy Closes Previously Announced $35.0 million Registered Direct Offering Exhibit 99.1 SPI Energy Closes Previously Announced $35.0 million Registered Direct Offering SANTA CLARA, CA / ACCESSWIRE / December 7, 2020 / SPI Energy Co., Ltd., (NASDAQ:SPI) (the "Company", “we” or “SPI”), a global renewable energy company and provider of photovoltaic (PV) and electric vehicle (EV) solutions for business, residential, government, logistics and utility customers and investors, |
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| December 7, 2020 |
SPI Energy Announces Pricing of $35.0 million Registered Direct Offering Exhibit 99.1 SPI Energy Announces Pricing of $35.0 million Registered Direct Offering ANTA CLARA, CA / ACCESSWIRE / December 3, 2020 / SPI Energy Co., Ltd., (NASDAQ:SPI) (the "Company", “we” or “SPI”), a global renewable energy company and provider of photovoltaic (PV) and electric vehicle (EV) solutions for business, residential, government, logistics and utility customers and investors, announce |
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| December 7, 2020 |
Exhibit 4.1 ORDINARY SHARE PURCHASE WARRANT SPI Energy Co., Ltd. Warrant Shares: [ Issuance Date: [, 2020 THIS ORDINARY SHARE PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after December [ ], 2020 (the "Initial Exerc |
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| December 7, 2020 |
Current Report of Foreign Issuer - CURRENT REPORT 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of December 2020 Commission File No. |
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| December 7, 2020 |
Form of Securities Purchase Agreement Exhibit 4.2 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of December , 2020, between SPI Energy Co., Ltd., a Cayman Islands exempt company (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and cond |
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| December 7, 2020 |
Exhibit 1 December 3, 2020 PERSONAL AND CONFIDENTIAL Denton Peng Chairman & CEO SPI Energy Co. |
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| December 7, 2020 |
Current Report of Foreign Issuer - FORM 6-K 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of October 2020 Commission File No. |
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| December 4, 2020 |
SPI Energy Announces Pricing of $35.0 million Registered Direct Offering Exhibit 99.1 SPI Energy Announces Pricing of $35.0 million Registered Direct Offering ANTA CLARA, CA / ACCESSWIRE / December 3, 2020 / SPI Energy Co., Ltd., (NASDAQ:SPI) (the "Company", “we” or “SPI”), a global renewable energy company and provider of photovoltaic (PV) and electric vehicle (EV) solutions for business, residential, government, logistics and utility customers and investors, announce |
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| December 4, 2020 |
Current Report of Foreign Issuer - CURRENT REPORT 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of December 2020 Commission File No. |
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| December 4, 2020 |
Form of Securities Purchase Agreement Exhibit 4.2 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of December , 2020, between SPI Energy Co., Ltd., a Cayman Islands exempt company (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and cond |
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| December 4, 2020 |
SPI ENERGY CO., LTD. 3,495,000 Ordinary Shares Warrants to Purchase up to 3,495,000 Ordinary Shares Table of Contents Filed pursuant to Rule 424(b)(5) Registration No. 333-240289 Prospectus Supplement (To Prospectus dated September 30, 2020) SPI ENERGY CO., LTD. 3,495,000 Ordinary Shares And Warrants to Purchase up to 3,495,000 Ordinary Shares We are offering to certain institutional investors, pursuant to this prospectus supplement and the accompanying base prospectus, up to an aggregate of 3,4 |
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| December 4, 2020 |
EX-1 2 spiex01.htm PLACEMENT AGENCY AGREEMENT Exhibit 1 December 3, 2020 PERSONAL AND CONFIDENTIAL Denton Peng Chairman & CEO SPI Energy Co., Ltd 4667 Old Ironside Drive Santa Clara, CA 95054 Dear Mr. Peng: Introduction. Subject to the terms and conditions herein (this “Agreement”), SPI Energy Co., Ltd. (the “Company”), hereby agrees to sell 3,500,000 ordinary shares and warrants to purchase 3,500 |
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| December 4, 2020 |
Exhibit 4.1 ORDINARY SHARE PURCHASE WARRANT SPI Energy Co., Ltd. Warrant Shares: [ Issuance Date: [, 2020 THIS ORDINARY SHARE PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after December [ ], 2020 (the "Initial Exerc |
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| November 25, 2020 |
Exhibit 99.1 SPI ENERGY CO., LTD. UNAUDITED CONDENSED CONSOLIDATED BALANCE SHEETS (In thousands, except for share and per share data) June 30, 2020 December 31, 2019 ASSETS Current assets: Cash and cash equivalents $ 3,261 $ 2,764 Restricted cash 36 239 Accounts receivable, net 16,945 16,539 Inventories, net 10,565 13,781 Project assets, net 18,901 17,842 Prepaid expenses and other current assets, |
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| November 25, 2020 |
Current Report of Foreign Issuer - FORM 6-K 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of November 2020 Commission File No. |
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| November 13, 2020 |
Current Report of Foreign Issuer - FORM 6-K 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of October 2020 Commission File No. |
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| November 13, 2020 |
Exhibit 99.1 SPI Energy, through its EdisonFuture Subsidiary, Acquires Phoenix Motorcars, a Leader in Medium Duty Electric Fleet Vehicles – Adds Turnkey US-based EV Drivetrain Design and Production Capabilities Along with Meaningful Backlog Friday, November 13, 2020, 4:30 AM EST SANTA CLARA, CA / ACCESSWIRE / November 13, 2020 / SPI Energy Co., Ltd., (NASDAQ:SPI) (the "Company"), a global renewabl |
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| November 13, 2020 |
Exhibit 99.2 MEMBERSHIP INTEREST PURCHASE AGREEMENT between Al Yousuf, LLC, as Seller, Edisonfuture Inc., as Buyer dated as of November 12, 2020 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 1 ARTICLE II PURCHASE AND SALE 10 Section 2.01 Purchase and Sale 10 Section 2.02 Purchase Price Shares; Stay-bonus Shares 10 Section 2.03 Tax Classification of Purchase Price Shares 11 Section 2.04 Transactions |
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| November 12, 2020 |
As filed with the Securities and Exchange Commission on November 12, 2020 Registration No. |
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| November 9, 2020 |
Current Report of Foreign Issuer - FORM 6-K 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of November 2020 Commission File No. |
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| November 9, 2020 |
Exhibit 99.1 SPI Energy’s EdisonFuture Subsididiary Strengthens EV Supply Chain and Sales Infrastructure through Joint Agreement with Liuzhou Liancheng Industrial Co., Ltd. and Guangxi Dazhou Automobile Sales Co., Ltd. SANTA CLARA, CALIFORNIA – November 9,2020 – SPI Energy Co., Ltd., (NASDAQ: SPI) (the "Company"), a global renewable energy company and provider of photovoltaic (PV) and electric veh |
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| November 4, 2020 |
Current Report of Foreign Issuer - FORM 6-K 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of November 2020 Commission File No. |
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| November 4, 2020 |
Exhibit 10.2 CONVERTIBLE PROMISSORY NOTE Effective Date: November 3, 2020 U.S. $2,110,000.00 FOR VALUE RECEIVED, SPI Energy Co., Ltd., a Cayman Islands corporation (“Borrower”), promises to pay to Streeterville Capital, LLC, a Utah limited liability company, or its successors or assigns (“Lender”), $2,110,000.00 and any interest, fees, charges, and late fees accrued hereunder on the date that is t |
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| November 4, 2020 |
SPI Energy Issues $2.1 Million 10% Convertible Promissory Note with $26 per Share Conversion Price Exhibit 99.1 SPI Energy Issues $2.1 Million 10% Convertible Promissory Note with $26 per Share Conversion Price SANTA CLARA, CALIFORNIA – November 4, 2020 – SPI Energy Co., Ltd., (NASDAQ: SPI) (the "Company"), a global renewable energy company and provider of photovoltaic (PV) and electric vehicle (EV) solutions for business, residential, government, logistics and utility customers and investors, |
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| November 4, 2020 |
Exhibit 10.1 Securities Purchase Agreement This Securities Purchase Agreement (this “Agreement”), dated as of November 3, 2020, is entered into by and between SPI Energy Co., Ltd., a Cayman Islands corporation (“Company”), and Streeterville Capital, LLC, a Utah limited liability company, its successors and/or assigns (“Investor”). A. Company and Investor are executing and delivering this Agreement |
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| October 28, 2020 |
Exhibit 10.1 Baker McKenzie. Deed of Settlement and Release Solar Juice Co. Ltd Kun Fong Lee in his own capacity and as trustee for Solar Juice Co. Ltd Jinhan Zhou in his own capacity and as trustee for Solar Juice Co. Ltd Andrew Lawrence Burgess in his own capacity and as trustee for Burgess Absolutely Entitled Trust Rami Ahmed Fedda in his own capacity and as trustee for Fedda Absolutely Entitle |
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| October 28, 2020 |
Exhibit 99.1 SPI Energy Announces Board Approval to Spin Off Solar Juice Co., Ltd. and Settlement of Solar Juice Australia Lawsuits SANTA CLARA, CALIFORNIA – October 27, 2020 – SPI Energy Co., Ltd., (NASDAQ: SPI) (the "Company"), a global renewable energy company and provider of photovoltaic (PV) and electric vehicle (EV) solutions for business, residential, government, logistics and utility custo |
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| October 28, 2020 |
Current Report of Foreign Issuer - FORM 6-K 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of October 2020 Commission File No. |
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| October 22, 2020 |
EX-99.2 Exhibit 99.2 OPTION AGREEMENT This Option Agreement (this “Agreement”), dated as of May 4, 2015, is by and between Yes Yield Investments Limited, a company incorporated under the laws of the British Virgin Islands (the “Option Holder”), and Solar Power, Inc., a California corporation (the “Company”). The Option Holder and the Company is referred to herein as a “Party,” and collectively as |
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| October 22, 2020 |
EX-99.1 Exhibit 99.1 PURCHASE AGREEMENT This Purchase Agreement (this “Agreement”), dated as of May 4, 2015, is by and between Yes Yield Investments Limited, a company established under the laws of the British Virgin Islands (the “Purchaser”), and Solar Power, Inc., a California corporation (the “Company”). Each of the Purchaser and the Company is referred to herein each as a “Party”, and collecti |
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| October 22, 2020 |
SPI / SPI Energy Co Ltd / He Jilun - SCHEDULE 13D Activist Investment Schedule 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 SPI Energy Co., Ltd. (Name of Issuer) Ordinary Shares, par value $0.0001 (Title of Class of Securities) G8651P110 (CUSIP Number) Jason Wong Melodious International Investments Group Limited 45F, China Resources Building, 26 Harbour Road, Wan Chai, Hong Kong Te |
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| October 22, 2020 |
EX-99.4 Exhibit 99.4 JOINT FILING AGREEMENT THIS JOINT FILING AGREEMENT is entered into as of October 22, 2020, by and among the parties hereto. The undersigned hereby agree that the Statement on Schedule 13D with respect to the ordinary shares, par value $0.0001 per share, of SPI Energy Co., Ltd., a Cayman Islands corporation, and any amendment thereafter signed by each of the undersigned shall b |
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| October 22, 2020 |
EX-99.3 Exhibit 99.3 Supplemental Agreement This supplemental agreement (this “Agreement”), dated as of October 31, 2015, is by and between Melodious International Investments Group Limited, formerly known as Yes Yield Investments Limited, a company incorporated under the laws of the British Virgin Islands (the “Option Holder”), and Solar Power, Inc., a California corporation (the “Company”). Wher |
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| October 15, 2020 |
Exhibit 99.1 SPI Energy Advances EdisonFuture Electric Vehicle Subsidiary through Strategic Agreement with Shaanxi Tongjia Automobile Co., Ltd. SANTA CLARA, CALIFORNIA – Thursday, October 15, 2020 – SPI Energy Co., Ltd., (NASDAQ: SPI) (the "Company"), a global renewable energy company and provider of photovoltaic (PV) and electric vehicle (EV) solutions for business, residential, government, logis |
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| October 15, 2020 |
Current Report of Foreign Issuer - FORM 6-K 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of October 2020 Commission File No. |
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| October 8, 2020 |
Current Report of Foreign Issuer - FORM 6-K 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of October 2020 Commission File No. |
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| October 8, 2020 |
Supplement Agreement dated October 7, 2020 between the registrant and Magical Glaze Limited Exhibit 1 Supplement Agreement This Supplement Agreement was entered into on 7 Oct, 2020. |
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| October 8, 2020 |
Exhibit 99.1 SPI Energy Regains Compliance with NASDAQ Listing Requirement for Minimum Market Value of Publicly Held Shares SANTA CLARA, CA / ACCESSWIRE / October 8, 2020 / SPI Energy Co., Ltd., (NASDAQ:SPI) (the "Company"), today announced that on October 7, 2020, it received a letter from the Listing Qualifications Department of The Nasdaq Stock Market ("Nasdaq"), indicating that for the ten con |
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| October 8, 2020 |
Current Report of Foreign Issuer - FORM 6-K 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of October 2020 Commission File No. |
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| October 8, 2020 |
SPI Energy Co., Ltd. Amends Terms of Convertible Bond Financing Exhibit 99.1 SPI Energy Co., Ltd. Amends Terms of Convertible Bond Financing SANTA CLARA, CALIFORNIA – Thursday, October 8, 2020 – SPI Energy Co., Ltd., (NASDAQ: SPI) (the "Company"), a global provider of photovoltaic (PV) solutions for business, residential, government, and utility customers and investors, today announced that it entered into an amendment agreement with respect to the Company’s c |
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| October 6, 2020 |
SPI Energy Announces Closing of $16.0 Million Registered Direct Offering Exhibit 99.1 SPI Energy Announces Closing of $16.0 Million Registered Direct Offering SANTA CLARA, CA / ACCESSWIRE / October 2, 2020 / SPI Energy Co., Ltd., (NASDAQ:SPI) (the "Company"), a global provider of photovoltaic (PV) solutions for business, residential, government, and utility customers and investors, today announced that it has closed its previously announced registered direct offering o |
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| October 6, 2020 |
Current Report of Foreign Issuer - FORM 6-K 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of October 2020 Commission File No. |
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| October 5, 2020 |
SPI / SPI Energy Co Ltd / Empery Asset Management, LP Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* SPI Energy Co., Ltd. (Name of Issuer) Ordinary Shares, par value $0.0001 (Title of Class of Securities) G8651P110 (CUSIP Number) September 30, 2020 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant to which |
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| October 1, 2020 |
Exhibit 1 September 30, 2020 PERSONAL AND CONFIDENTIAL Denton Peng Chairman & CEO SPI Energy Co. |
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| October 1, 2020 |
Current Report of Foreign Issuer - FORM 6-K 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of September 2020 Commission File No. |
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| October 1, 2020 |
SPI Energy Announces Pricing of $16.0 Million Registered Direct Offering Exhibit 99.1 Exhibit 99.1 SPI Energy Announces Pricing of $16.0 Million Registered Direct Offering SANTA CLARA, CALIFORNIA – Wednesday, September 30, 2020 – SPI Energy Co., Ltd., (NASDAQ: SPI) (the "Company"), a global provider of photovoltaic (PV) solutions for business, residential, government, and utility customers and investors, today announced that it has entered into a securities purchase ag |
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| October 1, 2020 |
SPI ENERGY CO., LTD. 2,964,000 Ordinary Shares Table of Contents Filed pursuant to Rule 424(b)(5) Registration No. 333-240289 Prospectus Supplement (To Prospectus dated September 30, 2020) SPI ENERGY CO., LTD. 2,964,000 Ordinary Shares We are offering 2,964,000 ordinary shares, par value $0.0001 per share, directly to certain institutional investors in this offering at a price of $5.40 per ordinary share pursuant to this prospectus supplement |
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| September 30, 2020 |
Acknowledgement dated September 25, 2020 between SPI Energy Co., Ltd. and Magical Glaze Limited Exhibit 10.1 ACKNOWLEDGMENT The undersigned , being the director of Magical Glaze Limited, a company established under the laws of British Virgin Islands ("MGL"). hereby certifies and agrees, on behalf of MGL and not in his individual capacity, that (all capitalized terms used herein but not otherwise defined shall have the meanings ascribed to them in that certain Agreement, as defined below): RE |
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| September 30, 2020 |
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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of September 2020 Commission File No. |
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| September 30, 2020 |
SPI Energy Launches New Electric Vehicle Company Subsidiary Exhibit 99.1 SPI Energy Launches New Electric Vehicle Company Subsidiary SANTA CLARA, California, September 23, 2020 (GLOBE NEWSWIRE) - SPI Energy Co., Ltd.("SPI Energy" or the "Company") (NASDAQ: SPI), a global provider of photovoltaic (“PV”) solutions for business, residential, government and utility customers and investors, today announced the launch of EdisonFuture, Inc., a wholly owned subsid |
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| September 29, 2020 |
SPI ENERGY CO., LTD. #1128, 11/F, No. 52 Hung To Road Kwun Tong, Kowloon Hong Kong S.A.R. September 29, 2020 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 RE: SPI Energy Co., Ltd. (the “Company”) Registration Statement on Form F-3 File No. 333-240289 Ladies and Gentlemen: In accordance with Rule 461 under the Securities Act of |
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| September 28, 2020 |
Table of Contents As filed with the Securities and Exchange Commission on September 28, 2020 Registration No. |
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| September 28, 2020 |
Form of Subordinated Debt Securities Indenture Exhibit 4.8 SPI ENERGY CO., LTD. FORM OF SUBORDINATED DEBT SECURITIES INDENTURE Dated as of [ ], 202[ ] [ ] Trustee TABLE OF CONTENTS Page ARTICLE I DEFINITIONS AND INCORPORATION BY REFERENCE 1 SECTION 1.1 Definitions 1 SECTION 1.2 Other Definitions 5 SECTION 1.3 Incorporation by Reference of Trust Indenture Act 5 SECTION 1.4 Rules of Construction 5 ARTICLE II THE SECURITIES 6 SECTION 2.1 Issuable |
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| September 28, 2020 |
Form of Senior Debt Securities Indenture Exhibit 4.7 SPI ENERGY CO., LTD. FORM OF SENIOR DEBT SECURITIES INDENTURE Dated as of [ ]. 202[ ] [ ] Trustee ARTICLE I DEFINITIONS AND INCORPORATION BY REFERENCE 1 SECTION 1.01 Definitions 1 SECTION 1.02 Other Definitions 4 SECTION 1.03 Incorporation by Reference of Trust Indenture Act 4 SECTION 1.04 Rules of Construction 4 ARTICLE II THE SECURITIES 5 SECTION 2.01 Issuable in Series 5 SECTION 2.0 |
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| August 3, 2020 |
Table of Contents As filed with the Securities and Exchange Commission on August 3, 2020 Registration No. |
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| June 30, 2020 |
Exhibit 4.63 REMOTE HASH POWER COMPUTING SERVICE AGREEMENT This REMOTE HASH POWER COMPUTING SERVICE AGREEMENT (the "Agreement") is made and entered into on this 15th day of July 2019 (the "Effective Date") by and between 1215542 BC Ltd. ("PROVIDER") and SPI Orange Co. Ltd. (Cayman) ("CLIENT") (collectively called the "Parties" and, individually, a "Party"). WHEREAS PROVIDER is the owner of 9,507 c |
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| June 30, 2020 |
Asset Purchase Agreement dated on July 31, 2019 between SPI Solar, Inc. and John M. Wirth Exhibit 4.65 ASSET PURCHASE AGREEMENT THIS ASSET PURCHASE AGREEMENT ("Agreement") is made as of July 31, 2019, by and between SPI SOLAR, INC., a Delaware corporation ("Purchaser"), and JOHN M. WIRTH, AS RECEIVER OF THE ASSETS OF ENSYNC, INC ("Seller"). RECITALS A. EnSync, Inc. (the "Company") specializing in energy management and storage, including the development and manufacturing of residential |
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| June 30, 2020 |
Exhibit 4.58 Equipment Purchase Contract This Contract is made as of 6 August 4, 2019 ("Effective Date") and entered into through friendly negotiation by and between CBD and Hemp Group Co., Ltd., a Delaware corporation located at 4677 Old lronsides Drive, Ste. 190, Santa Clara, CA 95054 (hereinafter referred to as "the Purchaser"), as one party and All Datum Inc., a corporation located at 1004 W W |
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| June 30, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F (Mark One) ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF |
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| June 30, 2020 |
Exhibit 4.59 SALES AND PURCHASE AGREEMENT BETWEEN Bitmain Equipment (Canada) Inc. ("Seller") AND 1215542 B.C. LTD ("Buyer") 1. Definitions and Interpretations 3 2. Sales of Product(s) 5 3. Prices and Terms of Payment 5 4. Shipping of Product(s) 6 5. Customs 6 6. Warranty 6 7 Representations and Warranties 8 8 Indemnification and Limitation of Liability 9 9 Distribution 10 10 Intellectual Property |
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| June 30, 2020 |
Exhibit 4.66 To: SPI Renewables Energy (Luxemburg) Private Limited Company S.à r.1. 6, Rue Eugene Ruppert L-2453 Luxembourg Grand Duchy of Luxembourg 23 September, 2019 Re: sale and purchase agreement proposal Dear Sirs, Following our previous discussions, please find below our sale and purchase agreement proposal. Please confirm that the below proposal correctly sets forth the terms of our agreem |
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| June 30, 2020 |
Exhibit 5.56 AMENDMENT TO CONVERTIBLE PROMISSORY NOTE This Amendment to Convertible Promissory Note (this “Amendment”) is entered into as of December 10, 2019, by and between ILIAD RESEARCH AND TRADING, L.P., a Utah limited partnership (“Lender”), and SPI ENERGY CO., LTD., a Cayman Islands corporation (“Borrower”). Capitalized terms used in this Amendment without definition shall have the meanings |
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| June 30, 2020 |
Common Stock Purchase Agreement between Knight AG Holding Co., Ltd. and Jacky Lo. Exhibit 4.56 COMMON STOCK PURCHASE AGREEMENT This Common Stock Purchase Agreement (the "Agreement") is made as of 2019 by and between Knight AG Holding Co., Ltd., (the "Company"), a Cayman Islands exempted limited company with its registered office at Cassia Court, Suite 716, 10 Market Street, Camana Bay, Grand Cayman KY1-9006, Cayman Islands, and Jackv LO, a resident of the United States with dri |
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| June 30, 2020 |
Second Supplemental Agreement dated on March 8, 2020 between 1151203 B.C.LTD and 1215542 B.C.LTD Exhibit 4.62 SECOND SUPPLEMENTAL AGREEMENT THIS SECOND SUPPLEMENTAL AGREEMENT dated March 8, 2020 (the "Contract Date") is to amend the HOSTING AGREEMENT made on July 9, 2019 and SUPPLEMENT AGREEMENT made on Oct 7, 2019, between 1151203 B.C. Ltd ("Host") and 1215542 B.C. LTD ("Client") that was executed by Songhua Zhang and Xiaofeng Peng Both Host and Client mutually agree to the following amendme |
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| June 30, 2020 |
Form of Compensation Committee Charter Exhibit 99.3 COMPENSATION COMMITTEE CHARTER OF SPI ENERGY CO., LTD. Purpose of the Committee The purposes of the Compensation Committee (the “Committee”) of the Board of Directors (the “Board”) of SPI Energy Co., Ltd. (the “Company”) shall be to oversee the Company’s compensation and employee benefit plans and practices, including its executive, director and other incentive and equity-based compen |
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| June 30, 2020 |
Exhibit 4.67 To: SP! Renewables Energy (Luxemburg) Private Limited Company S. a r.l. 6, Rue Eugene Ruppert L-2453 Luxembourg Grand Duchy of Luxembourg 23 September, 2019 Re: sale and purchase agreement proposal Dear Sirs, Following our previous discussions, please find below our sale and purchase agreement proposal. Please confirm that the below proposal correctly sets forth the terms of our agree |
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| June 30, 2020 |
Exhibit 13.1 Certification by the Chief Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 In connection with this annual report on Form 20-F of SPI Energy Co., Ltd. (the “Company”) for the fiscal year ended December 31, 2019 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Xiaofeng Peng, Chief Executive Officer of the Company, cer |
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| June 30, 2020 |
Exhibit 4.57 MANAGEMENT SERVICES AGREEMENT This Management Agreement (the "Agreement") is made as of July 24, 2019 (the "Effective Date"), among Native American Agricultural Company, Company incorporated under the laws of New Mexico with its office located at Farm Rd and 5th Lane, Shiprock NM, 87420, ("NAAC" or "Contractor"), and CBD and Hemp Group Co., Ltd., a Delaware corporation located at 4677 |
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| June 30, 2020 |
Hosting Agreement dated on July 9, 2019 between 1151203 B.C.LTD and 1215542 B.C.LTD Exhibit 4.60 HOSTING AGREEMENT THIS HOSTING AGREEMENT (the "Agreement") is made and entered into on this 9th day of July, 2019 (the "Effective Date") by and between 1151203 B.C. Ltd ("Host") and 1215542 B.C. Ltd ("Client"), and with Client and Host being collectively called the "Parties' and, individually, a "Party". WHEREAS Host arranges space and other equipment necessary to operate computers an |
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| June 30, 2020 |
Form of Audit Committee Charter Exhibit 99.2 SPI ENERGY CO., LTD. CHARTER OF THE AUDIT COMMITTEE Purpose and Policy The primary purpose of the Audit Committee (the “Committee”) shall be to act on behalf of the Board of Directors (the “Board”) of SPI Energy Co., Ltd. (the “Company”), in fulfilling the Board’s oversight responsibilities with respect to the Company’s corporate accounting and financial reporting processes, the syste |
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| June 30, 2020 |
Supplemental Agreement dated on October 7, 2019 between 1151203 B.C.LTD and 1215542 B.C.LTD Exhibit 4.61 SUPPLEMENTAL AGREEMENT THIS SUPPLEMENTAL AGREEMENT dated October 7, 2019 (the "Effective Date") is to amend the HOSTING AGREEMENT made on JULY 9, 2019 between 1151203 B.C. Ltd ("Host") and 1215542 B.C. LTD ("Client") that was executed by Songhua Zhang and Xiaofeng Peng. Both Host and Client mutually agree to the following amendments: (1) As of the Effective Date, Host and Client (coll |
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| June 30, 2020 |
Exhibit 4.68 To: SPI Renewables Energy (Luxemburg) Private Limited Company S. a r.l. 6, Rue Eugene Ruppert L-2453 Luxembourg Grand Duchy of Luxembourg 23 September, 2019 Re: sale and purchase agreement proposal Dear Sirs, Following our previous discussions, please find below our sale and purchase agreement proposal. Please confirm that the below proposal correctly sets forth the terms of our agree |
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| June 30, 2020 |
Exhibit 4.69 1. Basic Provisions (“Basic Provisions”) 1.1 Parties: This Lease (“Lease”), dated for reference purposes only Sept 15, 2019 is made by and between AI Factory, LLC (“Lessor”) and SPI Solar, Inc. (“Lessee”), (collectively the “Parties,” or individually a “Party”). 1.2 Premises: That certain real property, including all improvements therein or to be provided by Lessor under the terms of |
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| June 30, 2020 |
Exhibit 12.1 Certification by the Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Xiaofeng Peng, certify that: 1. I have reviewed this annual report on Form 20-F of SPI Energy Co., Ltd. (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 |
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| June 30, 2020 |
Consent of Independent Registered Public Accounting Firm—Marcum Bernstein & Pinchuk LLP Exhibit 15.1 Independent Registered Public Accounting Firm’s Consent We consent to the incorporation by reference in the Registration Statement of SPI Energy Co., Ltd. on Form S-8 (FILE NO. 333-203917) and its Post-Effective Amendment No. 1 of our report dated June 29, 2020, which includes an explanatory paragraph as to the Company’s ability to continue as a going concern with respect to our audit |
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| June 30, 2020 |
Exhibit 4.55 MEMBERSHIP INTEREST PURCHASE AGREEMENT FOR EACH OF THE COMPANIES REFERRED TO HEREIN DATED AS OF July 15th , 2019 BETWEEN SPI SOLAR, INC. AND SULUS LLC TABLE OF CONTENTS Page ARTICLE I. DEFINITIONS AND PRINCIPLES OF INTERPRETATION 1 Section 1.1 Definitions 1 Section 1.2 Rules of Interpretation. In this Agreement: 13 ARTICLE II. MEMBERSHIP INTEREST PURCHASE AND SALE; JOINT DEVELOPMENT 1 |
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| June 30, 2020 |
Form of Nominating and Corporate Governance Committee Charter Exhibit 99.4 CHARTER OF NOMINATING AND CORPORATE GOVERNANCE COMMITTEE OF THE BOARD OF DIRECTORS OF SPI ENERGY CO., LTD. Purpose The Corporate Governance and Nominating Committee (“Committee”) is a committee of the Board of Directors (the “Board”) of SPI Energy Co., Ltd. (the “Company”), established to help ensure that the Board is properly constituted to meet its fiduciary obligations to stockhold |
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| June 30, 2020 |
Exhibit 4.64 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of May 28, 2019, is entered into by and between SPI ENERGY CO., LTD., a Cayman Islands corporation (“Company”), and ILIAD RESEARCH AND TRADING, L.P., a Utah limited partnership, its successors and/or assigns (“Investor”). A. Company and Investor are executing and delivering this Agreement in |
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| June 12, 2020 |
FORM 12B-25 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER 001-37678 CUSIP NUMBER G8651P110 (Check One) [] Form 10-K [X] Form 20-F [] Form 11-K [] Form 10-Q [] Form N-SAR For Period Ended: December 31, 2019 [] Transition Report on Form 10-K [] Transition Report on Form 20-F [] Transition Report on Form 11-K [] Transiti |
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| April 30, 2020 |
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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of April 2020 Commission File No. |
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| March 31, 2020 |
SPI Energy Co., Ltd. Announces Changes to Board of Directors Exhibit 99.1 SPI Energy Co., Ltd. Announces Changes to Board of Directors HONG KONG and SANTA CLARA, California, March 31, 2020 (GLOBE NEWSWIRE) - SPI Energy Co., Ltd. ("SPI Energy" or the "Company") (NASDAQ: SPI), a global provider of green energy solutions for business, residential, government, utility customers, and investors, today announced the appointment of Mr. Zhang Jing to its board of di |
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| March 31, 2020 |
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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of March 2020 Commission File No. |
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| March 26, 2020 |
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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of March 2020 Commission File No. |
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| March 26, 2020 |
SPI Energy Co., Ltd. Announces Receipt of Delinquency Notice From NASDAQ Exhibit 99.1 SPI Energy Co., Ltd. Announces Receipt of Delinquency Notice From NASDAQ HONG KONG and SANTA CLARA, California, March 26, 2020 (GLOBE NEWSWIRE) - SPI Energy Co., Ltd. ("SPI Energy" or the "Company") (NASDAQ: SPI), a global provider of green energy solutions for business, residential, government, utility customers, and investors, today announced that it received a notification letter ( |
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| March 16, 2020 |
SPI Energy Announces Sale of Sun Roof I Solar Project in Italy Exhibit 99.1 SPI Energy Announces Sale of Sun Roof I Solar Project in Italy SANTA CLARA, California, March 16, 2020 (GLOBE NEWSWIRE) - SPI Energy Co., Ltd. ("SPI Energy" or the "Company") (NASDAQ: SPI), a global provider of green energy solutions for business, residential, government, utility customers, and investors, today announced the closing of the sale of its Sun Roof I assets, a 479 kWp roof |
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| March 16, 2020 |
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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of March 2020 Commission File No. |
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| February 3, 2020 |
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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of February 2020 Commission File No. |
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| February 3, 2020 |
SPI Energy Announces Management Changes Exhibit 99.1 SPI Energy Announces Management Changes HONG KONG and SANTA CLARA, California, February 3, 2020 (GLOBE NEWSWIRE) – SPI Energy Co., Ltd. ("SPI Energy" or the "Company") (NASDAQ: SPI), a global provider of green energy solutions with strategic investments in green-energy-enabled products and services, today announced that, on January 30, 2020,the Company received a letter of resignation |
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| December 30, 2019 |
SPI Energy Enters into Agreement to Amend Redemption Feature of Convertible Promissory Note Exhibit 99.1 SPI Energy Enters into Agreement to Amend Redemption Feature of Convertible Promissory Note SANTA CLARA, California, December 30, 2019 (GLOBE NEWSWIRE) – SPI Energy Co., Ltd. ("SPI Energy" or the "Company") (NASDAQ: SPI), a global provider of green energy solutions with strategic investments in green-energy-enabled products and services, today announced the amendment of certain redemp |
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| December 30, 2019 |
SOPW / Solar Power, Inc. 6-K - Current Report of Foreign Issuer - FORM 6-K 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of December 2019 Commission File No. |
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| November 22, 2019 |
SOPW / Solar Power, Inc. 6-K - Current Report of Foreign Issuer - FORM 6-K 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of November 2019 Commission File No. |
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| November 22, 2019 |
Exhibit 99.1 SPI ENERGY CO., LTD. UNAUDITED CONDENSED CONSOLIDATED BALANCE SHEETS (In thousands, except for share and per share data) June 30, 2019 December 31, 2018 ASSETS Current assets: Cash and cash equivalents $ 8,662 $ 4,141 Restricted cash 177 458 Accounts receivable, net 25,459 27,777 Notes receivable 247 526 Inventories, net 13,333 11,906 Project assets 20,130 24,654 Prepaid expenses and |
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| November 6, 2019 |
SPI Energy Completes Acquisition of 4.4MW of Solar Projects in Greece Exhibit 99.1 SPI Energy Completes Acquisition of 4.4MW of Solar Projects in Greece SANTA CLARA, California, November 6, 2019 (GLOBE NEWSWIRE) – SPI Energy Co., Ltd. ("SPI Energy" or the "Company") (NASDAQ: SPI), a global provider of green energy solutions with strategic investments in green-energy-enabled products and services, today announced that SP Orange Power (Cyprus) Limited (“SP Orange”), a |
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| November 6, 2019 |
SOPW / Solar Power, Inc. 6-K - Current Report of Foreign Issuer - FORM 6-K 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of November 2019 Commission File No. |
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| October 1, 2019 |
SPI Energy Announces Sale of Sun Roof II and Sun Roof V Solar Projects in Italy Exhibit 99.1 SPI Energy Announces Sale of Sun Roof II and Sun Roof V Solar Projects in Italy SANTA CLARA, California, October 1, 2019 (GLOBE NEWSWIRE) - SPI Energy Co., Ltd. ("SPI Energy" or the "Company") (NASDAQ: SPI), a global provider of green energy solutions for business, residential, government and utility customers and investors, today announced the closing on the sale of Sun Roof II and S |
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| October 1, 2019 |
SOPW / Solar Power, Inc. 6-K - Current Report of Foreign Issuer - FORM 6-K 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of October 2019 Commission File No. |
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| July 23, 2019 |
EX-99.1 2 spiex9901.htm PRESS RELEASE Exhibit 99.1 SPI Energy Enters into a Framework Agreement to Acquire Up To 21MW of Solar Project Portfolio in Oregon HONG KONG and SANTA CLARA, California, July 23, 2019 (GLOBE NEWSWIRE) - SPI Energy Co., Ltd. ("SPI Energy" or the "Company") (NASDAQ: SPI), a global provider of photovoltaic (“PV”) solutions for business, residential, government and utility cust |
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| July 23, 2019 |
SOPW / Solar Power, Inc. 6-K - Current Report of Foreign Issuer - FORM 6-K 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of July 2019 Commission File No. |
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| July 17, 2019 |
SOPW / Solar Power, Inc. 6-K - Current Report of Foreign Issuer - FORM 6-K 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 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the Month of July 2019 Commission File No. |
