SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Sinotruk (BVI) Ltd

(Last) (First) (Middle)
UNITS 2102-03 SHUN TAK CENTRE CHINA
MERCHANTS TOWER 168-200 CONNAUGHT RD

(Street)
CENTRAL K3 00000

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
08/25/2017
3. Issuer Name and Ticker or Trading Symbol
UQM TECHNOLOGIES INC [ UQM ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock(1) 5,347,300(2) D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. As previously disclosed, the shares of common stock being reported by the Reporting Person were obtained in connection with a Stock Purchase Agreement with the Issuer that initially closed on September 25, 2017. Under the terms of the Stock Purchase Agreement, the Reporting Person's common stock share ownership constituted 9.90% of the Issuer's outstanding common stock as of September 25, 2017. Also under the terms of such Stock Purchase Agreement, the Reporting Person may, in connection with a separate closing, directly or beneficially, obtain additional shares of the Issuer's common stock such that the Reporting Person would own, directly and/or beneficially, up to 34% of the Issuer's common stock. The transactions originally contemplated in the Stock Purchase Agreement relating to such separate closing did not occur and were terminated.
2. The Reporting Person is a company organized under the laws of the British Virgin Islands and a wholly owned subsidiary of China National Heavy Duty Truck Group Co. Ltd., a company organized under the laws of the People's Republic of China ("CNHTC"). The shares being reported under this Form 3 are directly held by the Reporting Person, but any additional shares of the Issuer could have been also held by CNHTC or its affiliates.
/s/ Xiaomin Chen 06/04/2019
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.