Current Report Filing (8-k)
September 24 2013 - 6:01AM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES AND EXCHANGE ACT OF 1934
Date of report (date of earliest event
reported): September 18, 2013
TRI-TECH HOLDING INC.
(Exact name of registrant as specified
in its charter)
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Cayman Islands |
001-34427 |
N/A |
(State or Other Jurisdiction
of Incorporation) |
(Commission File Number) |
(IRS Employer
Identification No.) |
16th Floor of Tower B, Renji Plaza No.
101
Jingshun Road, Chaoyang District
Beijing, People’s Republic of China
100102
(Address of principal executive offices)
Registrant’s telephone number,
including area code: +86 (10) 5732-3666
Check the appropriate box below if the Form 8-K filing is intended
to simultaneously satisfy the filing obligations of the registrant under any of the following provisions:
¨ |
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
¨ |
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
¨ |
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
¨ |
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
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ITEM 5.02 |
DEPARTURE OF DIRECTORS OR CERTAIN OFFICERS; ELECTION OF DIRECTORS; APPOINTMENT OF CERTAIN OFFICERS; COMPENSATORY ARRANGEMENTS OF CERTAIN OFFICERS. |
Items 5.02(b) and 5.02(c)
Effective September 18, 2013, the Registrant announced the changes
of roles for several officers within the company based on a unanimous vote by the Nominating Committee and Board of Directors.
The following table lists the positions held by each individual before and after September 18, 2013. All of the changes were effective
on September 18, 2013. Mr. Dong will receive a salary of $180,000, and Mr. Fan will receive a salary of $200,000.
Name |
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Prior Positions |
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New Positions |
Gavin Cheng |
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Member of Board of Directors and Chief Executive Officer (Principal Executive Officer) |
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Member of Board of Directors |
Peter Dong |
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Chief Operating Officer (Principal Operating Officer) and Member of Board of Directors |
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Chief Financial Officer (Principal Financial and Accounting Officer), Chief Operating Officer (Principal Operating Officer) and Member of Board of Directors |
Phil Fan |
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Chief Financial Officer (Principal Financial and Accounting Officer), Member of Board of Directors and President of international subsidiaries/affiliates (Tri-Tech Infrastructure, LLC in the US, Tri-Tech Infrastructure (India) Pvt. Ltd. and Tri-Tech India Pvt. Ltd.) |
|
Chief Executive Officer (Principal Executive Officer) and Member of Board of Directors |
Phil Fan
Chief Executive Officer and Director
Age — 48
Director since 2010
Mr. Fan is our Chief Executive Officer. He was previously Chief
Financial Officer, president of our international subsidiaries and affiliates (Tri-Tech Infrastructure, LLC in the US, Tri-Tech
Infrastructure (India) Pvt. Ltd. and Tri-Tech India Pvt. Ltd.) and president of our company. Mr. Fan was one of the founders of
our company in 2003. Prior to founding our company, Mr. Fan provided technical, engineering and management services in several
U.S. engineering firms, including Black and Veatch, Parsons Brinckerhoff, Inc. and Chastain-Skillman, Inc. From 2003 through 2005,
Mr. Fan was the Asia Regional Sales Manager for Met-Pro Corporation. Mr. Fan earned his bachelor’s and master’s degrees
in environmental engineering from Hunan University and a master’s degree in civil engineering from Louisiana State University.
Mr. Fan has been a registered professional engineer (inactive) in the United States since 2001. Mr. Fan has studied accounting
and finance at DeVry University’s Keller Graduate School of Management and Northwestern University’s Kellogg School
of Management. Mr. Fan has been chosen as a director because he is one of the founders of our company and a key member of our management
team with extensive engineering and management and financial experience.
Peter Dong
Chief Financial Officer, Chief Operating Officer and Director
Age — 45
Director since 2010
Mr. Dong is our Chief Financial Officer and Chief Operating
Officer. Mr. Dong was our CFO from 2006 through his appointment as Chief Operating Officer in 2012. From 2001 through 2005, Mr.
Dong was the Director of South West Securities Company and Wan Lian Securities Company. From 1994 to 2000, Mr. Dong was director
of the equity department and asset management department of SinoChem. From 1991 through 1993, Mr. Dong engaged in research and
development of large testing and controlling systems at Beijing Test Control Technology Institute of Aeronautics Ministry. Mr.
Dong has over 22 years of investment, financing and management experience in the technology and securities industries in China.
Mr. Dong earned his bachelor’s degree in computer science from Nanjing University of Aeronautics and Astronautics and his
master’s degree in economics from Renmin University of China. Mr. Dong was chosen as a director because of his financial
experience and because he is an experienced member of our management team with an in-depth awareness of our financial capabilities.
ITEM 9.01 FINANCIAL STATEMENTS AND EXHIBITS.
99.1 |
Press release dated September 18, 2013 titled “Tri-Tech Holding Announces Management Changes.” |
Pursuant to the requirements of the Securities and Exchange
Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
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TRI-TECH HOLDING INC. |
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By: |
/s/ Phil Fan |
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Name: Phil Fan
Its: Chief Executive Officer |
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Dated: September 23, 2013
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