<SEC-DOCUMENT>0001477932-19-000791.txt : 20190305
<SEC-HEADER>0001477932-19-000791.hdr.sgml : 20190305
<ACCEPTANCE-DATETIME>20190305100704
ACCESSION NUMBER:		0001477932-19-000791
CONFORMED SUBMISSION TYPE:	6-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20190305
FILED AS OF DATE:		20190305
DATE AS OF CHANGE:		20190305

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			Dunxin Financial Holdings Ltd
		CENTRAL INDEX KEY:			0001499494
		STANDARD INDUSTRIAL CLASSIFICATION:	FINANCE SERVICES [6199]
		IRS NUMBER:				000000000
		STATE OF INCORPORATION:			E9

	FILING VALUES:
		FORM TYPE:		6-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-34958
		FILM NUMBER:		19656922

	BUSINESS ADDRESS:	
		STREET 1:		6/F., BUILDING 1
		STREET 2:		NO. 181 DONGHU ROAD, WUCHANG DISTRICT
		CITY:			WUHAN CITY, HUBEI PROVINCE
		STATE:			F4
		ZIP:			361000
		BUSINESS PHONE:		86 1365 5939 932

	MAIL ADDRESS:	
		STREET 1:		6/F., BUILDING 1
		STREET 2:		NO. 181 DONGHU ROAD, WUCHANG DISTRICT
		CITY:			WUHAN CITY, HUBEI PROVINCE
		STATE:			F4
		ZIP:			361000

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	China Xiniya Fashion Ltd
		DATE OF NAME CHANGE:	20100818
</SEC-HEADER>
<DOCUMENT>
<TYPE>6-K
<SEQUENCE>1
<FILENAME>dxf_6k.htm
<DESCRIPTION>FORM 6-K
<TEXT>
<html><head><title>dxf_6k.htm</title><!--Document Created by EDGARMaster--></head><BODY spellcheck="true" style="text-align:justify;font:10pt TIMES NEW ROMAN;margin:0px 7%"><p style="MARGIN: 0px" align="center">&nbsp;</p><b> <table style="FONT-SIZE: 1px" cellspacing="0" cellpadding="0" width="100%" border="0"> <tr> <td> <div style="HEIGHT: 4px; WIDTH: 100%; BACKGROUND: #000000; MARGIN: 0px 0px 2px" name="hrule"></div> <div style="HEIGHT: 2px; WIDTH: 100%; BACKGROUND: #000000" name="hrule"></div></td></tr></table>&nbsp;</b><b> <p style="MARGIN: 0px"> <table style="TEXT-ALIGN: justify; FONT: 10pt TIMES NEW ROMAN" cellspacing="0" cols="1" cellpadding="0" width="100%" align="center" border="0"> <tr> <td> <p style="MARGIN: 0px" align="center"><b>UNITED STATES </b></p> <p style="MARGIN: 0px" align="center"><b>S</b><b>ECURITIES AND EXCHANGE COMMISSION </b></p> <p style="MARGIN: 0px" align="center"><b>Washington, D.C. 20549 </b></p> <p style="MARGIN: 0px" align="center">&nbsp;</p> <p style="MARGIN: 0px" align="center"><b><font size="6"><font size="5">Form 6-K</font> </font></b></p></td></tr></table></p></b>&nbsp; <p style="MARGIN: 0px" align="center"><b>REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 or 15d-16 UNDER THE</b></p> <p style="MARGIN: 0px" align="center">&nbsp;</p> <p style="MARGIN: 0px" align="center"><b>SECURITIES EXCHANGE ACT OF 1934 </b></p> <p style="MARGIN: 0px" align="center">&nbsp;</p> <p style="MARGIN: 0px" align="center">For the month of March 2019</p> <p style="MARGIN: 0px" align="center">&nbsp;</p> <p style="MARGIN: 0px" align="center">Commission file number: <u>001-34958</u></p> <p style="MARGIN: 0px">&nbsp;</p> <table style="TEXT-ALIGN: justify; FONT: 10pt TIMES NEW ROMAN" cellspacing="0" cellpadding="0" width="60%" align="center" border="0"> <tr height="15"> <td style="BORDER-BOTTOM: 1px solid" width="100%"> <p style="MARGIN: 0px 0px 0px 0in" align="center"><b><font size="5">DUNXIN FINANCIAL HOLDINGS LIMITED</font></b></p></td></tr></table> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in" align="center">23rd Floor, Lianfa International Building</p> <p style="MARGIN: 0px 0px 0px 0in" align="center">128 Xudong Road, Wuchang District</p> <p style="MARGIN: 0px" align="center">Wuhan City, Hubei Province, 430000</p> <p style="MARGIN: 0px 0px 0px 0in" align="center"><u>People&#8217;s Republic of China</u></p> <p style="MARGIN: 0px 0px 0px 0in" align="center"><b>(Address of Principal Executive Offices)</b></p> <p style="MARGIN: 0px" align="center">&nbsp;</p> <p style="MARGIN: 0px" align="justify">Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F. </p> <p style="MARGIN: 0px" align="justify">&nbsp;</p> <p style="MARGIN: 0px" align="justify">Form 20-F &nbsp; <font face="Wingdings">x </font>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Form 40-F&nbsp; <font face="Wingdings"><font style="FONT-FAMILY: Wingdings">&#168;</font> </font>&nbsp; </p> <p style="MARGIN: 0px" align="justify">&nbsp;</p> <p style="MARGIN: 0px" align="justify">Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulations S-T Rule 101(b)(1): <font face="Wingdings"><font style="FONT-FAMILY: Wingdings">&#168;</font> </font>&nbsp;</p> <p style="MARGIN: 0px" align="justify">&nbsp;</p> <p style="MARGIN: 0px" align="justify">Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulations S-T Rule 101(b)(7): <font face="Wingdings"><font style="FONT-FAMILY: Wingdings">&#168;</font> </font>&nbsp;</p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px"> <table style="FONT-SIZE: 1px" cellspacing="0" cellpadding="0" width="100%" border="0"> <tr> <td> <div style="HEIGHT: 2px; WIDTH: 100%; BACKGROUND: #000000; MARGIN: 0px 0px 2px" name="hrule"></div> <div style="HEIGHT: 4px; WIDTH: 100%; BACKGROUND: #000000" name="hrule"></div></td></tr></table></p> <p style="MARGIN: 0px"> <table class="pagebreak" style="FONT: 10pt TIMES NEW ROMAN" cellspacing="0" cellpadding="0" width="100%" border="0"> <tr> <td class="hpbhr">&nbsp;</td></tr> <tr> <td>&nbsp;</td></tr> <tr> <td> <div style="WIDTH: 100%; PAGE-BREAK-AFTER: always; LINE-HEIGHT: 0px"></div>&nbsp;</td></tr> <tr> <td>&nbsp;</td></tr></table></p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in" align="center"><b>INFORMATION CONTAINED IN THIS FORM 6-K REPORT </b></p> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in"><u>Grant of Restricted Stock Units Awards </u></p> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">On February 22, 2019, the Board of Directors (the &#8220;Board&#8221;) of Dunxin Financial Holdings Limited (the &#8220;Company&#8221;) approved the grant of restricted stock units (&#8220;RSU&#8221;) under the Company&#8217;s 2010 Equity Incentive Plan to the following independent directors and executive officers in the amounts and the vesting schedule indicated below (&#8220;Grant&#8221;):</p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px"> <table style="BORDER-RIGHT: black 1px solid; BORDER-BOTTOM: black 1px solid; TEXT-ALIGN: justify; FONT: 10pt TIMES NEW ROMAN" cellspacing="0" cellpadding="0" width="100%" border="0"> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="25%"> <p style="MARGIN: 0px 0px 0px 0in"><b>Name</b></p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="25%"> <p style="MARGIN: 0px 0px 0px 0in"><b>Title</b></p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="25%"> <p style="MARGIN: 0px 0px 0px 0in"><b>Number of RSU</b></p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top" width="25%"> <p style="MARGIN: 0px 0px 0px 0in"><b>Vesting Schedule</b></p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">H. David Sherman</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">Independent Director</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">240,000</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid; MARGIN: 0px" valign="top"> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">60,000 &#8211; 03/31/2019</p>60,000 &#8211; 06/30/2019 <p style="MARGIN: 0px">60,000 &#8211; 09/30/2019</p> <p style="MARGIN: 0px">60,000 - 12/31/2019</p> <p style="MARGIN: 0px">&nbsp;</p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">Michael Viotto</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">Independent Director</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">240,000</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid; MARGIN: 0px" valign="top"> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">60,000 &#8211; 03/31/2019</p>60,000 &#8211; 06/30/2019 <p style="MARGIN: 0px">60,000 &#8211; 09/30/2019</p> <p style="MARGIN: 0px">60,000 - 12/31/2019</p> <p style="MARGIN: 0px">&nbsp;</p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">Duoguang Bei</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">Independent Director</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">240,000</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid; MARGIN: 0px" valign="top"> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">60,000 &#8211; 03/31/2019</p>60,000 &#8211; 06/30/2019 <p style="MARGIN: 0px">60,000 &#8211; 09/30/2019</p> <p style="MARGIN: 0px">60,000 - 12/31/2019</p> <p style="MARGIN: 0px">&nbsp;</p></td></tr> <tr height="15"> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in">Chee Jiong Ng</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in">Chief Financial Officer</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid" valign="top"> <p style="MARGIN: 0px 0px 0px 0in">357,010</p></td> <td style="BORDER-TOP: black 1px solid; BORDER-LEFT: black 1px solid; MARGIN: 0px" valign="top"> <p style="MARGIN: 0px 0px 0px 0in">89,253 &#8211; 03/31/2019</p>89,253 &#8211; 06/30/2019 <p style="MARGIN: 0px">89,253 &#8211; 09/30/2019</p> <p style="MARGIN: 0px">89,251 - 12/31/2019</p> <p style="MARGIN: 0px">&nbsp;</p></td></tr></table></p> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">Each RSU represents the right to receive one ordinary shares of the Company upon vesting. </p> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">As of the date of this Form 6-K report, no RSUs have vested under this Grant. The form of Restricted Stock Unit Award Agreement is attached as Exhibit 10.1 and is incorporated by reference to this Form 6-K.</p> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in">The securities referenced above were offered and sold pursuant to an exemption from registration under Section 4(a)(2) of the Securities Act of 1933, as amended (&#8220;Securities Act&#8221;), and/or Regulation S promulgated under the Securities Act.</p> <p style="MARGIN: 0px 0px 0px 0in">&nbsp; <table id="pagebreak59120f4b-5ea3-458a-9efe-5e5d9fd28c93" class="pagebreak" style="FONT: 10pt TIMES NEW ROMAN" cellspacing="0" cellpadding="0" width="100%" border="0"> <tr> <td class="hpbhr">&nbsp;</td></tr> <tr> <td style="BORDER-BOTTOM: black 1px solid"> <p style="MARGIN: 0px" align="center">2</p></td></tr> <tr> <td> <div style="WIDTH: 100%; PAGE-BREAK-AFTER: always; LINE-HEIGHT: 0px"></div>&nbsp;</td></tr> <tr> <td>&nbsp;</td></tr></table></p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px" align="center"><b>EXHIBIT INDEX</b></p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px"> <table style="TEXT-ALIGN: justify; FONT: 10pt TIMES NEW ROMAN" cellspacing="0" cellpadding="0" width="100%" border="0"> <tr height="15"> <td style="BORDER-BOTTOM: black 1px solid" valign="top" width="10%"> <p style="MARGIN: 0px 0px 0px 0in"><b>Exhibit No. </b></p></td> <td width="2%"> <p style="MARGIN: 0px">&nbsp;</p></td> <td style="BORDER-BOTTOM: black 1px solid" valign="top" width="88%"> <p style="MARGIN: 0px 0px 0px 0in"><b>Description of Document</b></p></td></tr> <tr height="15" bgcolor="#cceeff"> <td valign="top"> <p style="MARGIN: 0px 0px 0px 0in"><a href="http://www.sec.gov/Archives/edgar/data/1499494/000147793218004985/dxf_ex101.htm">10.1 </a></p></td> <td> <p style="MARGIN: 0px">&nbsp;</p></td> <td valign="top"> <p style="MARGIN: 0px 0px 0px 0in"><a href="http://www.sec.gov/Archives/edgar/data/1499494/000147793218004985/dxf_ex101.htm">Form of Restricted Stock Unit Award Agreement Under the 2010 Equity Incentive Plan (Exhibit 10.1 on Form 6-K furnished with the Securities and Exchange Commission on October 23, 2018, and incorporated herein by reference).</a></p></td></tr></table></p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in"> <table id="pagebreakab39f8be-c6e9-4479-8c08-080447a5c60a" class="pagebreak" style="FONT: 10pt TIMES NEW ROMAN" cellspacing="0" cellpadding="0" width="100%" border="0"> <tr> <td class="hpbhr">&nbsp;</td></tr> <tr> <td style="BORDER-BOTTOM: black 1px solid"> <p style="MARGIN: 0px" align="center">3</p></td></tr> <tr> <td> <div style="WIDTH: 100%; PAGE-BREAK-AFTER: always; LINE-HEIGHT: 0px"></div>&nbsp;</td></tr> <tr> <td>&nbsp;</td></tr></table></p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in" align="center"><b>SIGNATURE</b></p> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px 0px 0px 0in; TEXT-INDENT: 33.75pt" align="justify">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.</p> <p style="MARGIN: 0px">&nbsp;</p> <table style="TEXT-ALIGN: justify; FONT: 10pt TIMES NEW ROMAN" cellspacing="0" cellpadding="0" width="100%" border="0"> <tr height="15"> <td> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p></td> <td colspan="2"> <p style="MARGIN: 0px 0px 0px 0in"><b>Dunxin Financial Holdings Limited</b></p></td> <td></td></tr> <tr height="15"> <td width="49%"></td> <td width="5%"></td> <td width="34%"></td> <td width="9%"> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p></td></tr> <tr height="15"> <td> <p style="MARGIN: 0px 0px 0px 0in">Date: March 5, 2019</p></td> <td> <p style="MARGIN: 0px 0px 0px 0in">By:</p></td> <td style="BORDER-BOTTOM: 1px solid"> <p style="MARGIN: 0px 0px 0px 0in"><i>/s/ Ricky Qizhi Wei</i></p></td> <td></td></tr> <tr height="15"> <td> <p style="MARGIN: 0px">&nbsp;</p></td> <td> <p style="MARGIN: 0px">Name:</p></td> <td> <p style="MARGIN: 0px 0px 0px 0in">Ricky Qizhi Wei</p></td> <td></td></tr> <tr height="15"> <td> <p style="MARGIN: 0px 0px 0px 0in">&nbsp;</p></td> <td> <p style="MARGIN: 0px 0px 0px 0in">Title:</p></td> <td> <p style="MARGIN: 0px 0px 0px 0in">Chairman and Chief Executive Officer</p></td> <td></td></tr></table> <p style="MARGIN: 0px">&nbsp;</p> <p style="MARGIN: 0px"> <table class="pagebreak" style="FONT: 10pt TIMES NEW ROMAN" cellspacing="0" cellpadding="0" width="100%" border="0"> <tr> <td class="hpbhr">&nbsp;</td></tr> <tr> <td style="BORDER-BOTTOM: black 1px solid"> <p style="MARGIN: 0px" align="center">4</p></td></tr></table></p></BODY><!--Document Created by EDGARMaster--></html>
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
