SIXD / AIM ETF Products Trust - AllianzIM U.S. Large Cap 6 Month Buffer10 Jun/Dec ETF - Depositi SEC, Relazione annuale, dichiarazione di delega

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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 1, 2019 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 47-1899833 (State or Other Jurisdiction (Commission File Number) (IRS Employer Of

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Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 15, 2018 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 47-1899833 (State or Other Jurisdiction (Commission File Number) (IRS Employer Of

EX-99.1

Exhibit 99.1 To view Exhibit 99.1 refer to the attached: ex99-1.pdf

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EX-99.2

Exhibit 99.2 To view Exhibit 99.2 refer to the attached: ex99-2.pdf

EX-99.6

EX-99.6 12 ex99-6.htm EX-99.6 Exhibit 99.6 To view Exhibit 99.6 refer to the attached: ex99-6.pdf

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EX-99.9

Exhibit 99.9 To view Exhibit 99.9 refer to the attached: ex99-9.pdf

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EX-99.3

EX-99.3 6 ex99-3.htm EX-99.3 Exhibit 99.3 To view Exhibit 99.3 refer to the attached: ex99-3.pdf

EX-99.1

Exhibit 99.1 To view Exhibit 99.1 refer to the attached: ex99-1.pdf

EX-99.2

Exhibit 99.2 To view Exhibit 99.2 refer to the attached: ex99-2.pdf

EX-99.5

Exhibit 99.5 To view Exhibit 99.5 refer to the attached: ex99-5.pdf

Press release issued by counsel for Benjamin Wey, dated April 9, 2018, announcing lawsuit against the NASDAQ and certain NASDAQ individual defendants.

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EX-99.8

EX-99.8 16 ex99-8.htm EX-99.8 Exhibit 99.8 To view Exhibit 99.8 refer to the attached: ex99-8.pdf

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 13, 2018 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 47-1899833 (State or Other Jurisdiction (Commission File Number) (IRS Employer O

EX-99.7

Exhibit 99.7 To view Exhibit 99.7 refer to the attached: ex99-7.pdf

EX-99.4

EX-99.4 8 ex99-4.htm EX-99.4 Exhibit 99.4 To view Exhibit 99.4 refer to the attached: ex99-4.pdf

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 9, 2017 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 47-1899833 (State or Other Jurisdiction (Commission File Number) (IRS Employer Of

6D Global Technologies Prevails Against Class Action Lawsuit U.S. District Court Issues Sweeping Decision in Favor of 6D Global’s Motion to Dismiss

Exhibit 99.1 PRESS RELEASE 6D Global Technologies Prevails Against Class Action Lawsuit U.S. District Court Issues Sweeping Decision in Favor of 6D Global?s Motion to Dismiss NEW YORK, March 9, 2017 ? 6D Global Technologies, Inc., a premier digital business solutions company, announced today that a putative class action complaint against it has been dismissed with prejudice by Manhattan U.S. Distr

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 Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 28, 2016 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 47-1899833 (State or Other Jurisdiction (Commission File Number) (IRS Employe

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 19, 2016 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 47-1899833 (State or Other Jurisdiction (Commission File Number) (IRS Employer

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 19, 2016 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 47-1899833 (State or Other Jurisdiction (Commission File Number) (IRS Employer

6D Global Technologies DEF 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of

Employment Agreement, dated January 1, 2016, by and between the Company and Mark Szynkowski.

Exhibit 10.13 EMPLOYMENT AGREEMENT EMPLOYMENT AGREEMENT (the “Agreement”), dated as of January 1, 2016, between 6D Global Technologies, Inc., a Delaware corporation (the “Company”), and Mark Szynkowski (the “Employee”). W I T N E S S E T H : WHEREAS, the Company desires to employ the Employee as its Chief Financial Officer and to be assured of his services on the terms and conditions hereinafter s

Form of Subscription Agreement, dated September 29, 2014, by and between the Company and the subscribers on the signature pages thereto.

Exhibit 10.6 CONFIDENTIAL SUBSCRIPTION AGREEMENT This CONFIDENTIAL SUBSCRIPTION AGREEMENT (this “Subscription Agreement”) is dated as of the 29th day of September, 2014, between 6D Acquisitions, Inc., a Nevada corporation, with principal offices at 17 State Street, Suite 450, New York, New York 10004 (the “Company”) and the person or persons listed and signing on the signature page hereto (the “Su

SUBSIDIARIES

EX-21.1 4 ex21-1.htm EX-21.1 Exhibit 21.1 SUBSIDIARIES 6D Global Technologies, Inc. (a Delaware corporation) Six Dimensions, Inc. (a Nevada corporation) SwellPath, Inc. (an Oregon corporation) Topaz Interactive, LLC (an Oregon Limited Liability Company doing business as “Storycode”) 6D Global Technologies Web and Data Solutions Ireland Holdings, Limited 6D Global Technologies Web and Data Solution

6D Global Technologies 10-K (Annual Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Annual Period Ended December 31, 2015 OR o 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 001-35002 6D GLOBAL TECHNOLOGIES,

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 6, 2016 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 47-1899833 (State or Other Jurisdiction (Commission File Number) (IRS Employer Of

Shareholder Director Nominations

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 1, 2016 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 47-1899833 (State or Other Jurisdiction (Commission File Number) (IRS Employer Of

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 17, 2016 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 47-1899833 (State or Other Jurisdiction (Commission File Number) (IRS Employer Of

6D Global Technologies Updates Nasdaq Appeal

Exhibit 99.1 FOR IMMEDIATE RELEASE MEDIA CONTACT: Randall Samborn (312) 214-2300 [email protected] 6D Global Technologies Updates Nasdaq Appeal NEW YORK, May 20, 2016?6D Global Technologies, Inc., a leading digital marketing solutions provider, is continuing its appeal of The Nasdaq Stock Market?s action to delist the Company?s common stock. The appeal is now before the Nasdaq Listing and Hearing Re

Employment Agreement

EX-10.1 2 ex10-1.htm EX-10.1 Exhibit 10.1 EMPLOYMENT AGREEMENT EMPLOYMENT AGREEMENT (the “Agreement”), dated as of May 1, 2016, between 6D Global Technologies, Inc., a Delaware corporation (the “Company”), and Brad Timchuk (the “Employee”). W I T N E S S E T H : WHEREAS, the Company desires to employ the Employee as its President & Chief Operating Officer and to be assured of his services on the t

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 26, 2016 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 47-1899833 (State or Other Jurisdiction (Commission File Number) (IRS Employer O

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Changes in Registrant's Certifying Accountant

sixdglobal8k041816.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 12, 2016 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 47-1899833 (State or Other Jurisdiction (Commission File

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

sixdglobaltech8k040816.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 5, 2016 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 47-1899833 (State or Other Jurisdiction (Commission Fi

Other Events

8-K 1 sixdglobaltech8k032416.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 24, 2016 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 47-1899833 (State or Other Jurisdiction (Co

6D Global Technologies RW

sixdglobal-rw032416.htm March 24, 2016 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street N.E. Washington, D.C. 20549 Re: 6D Global Technologies, Inc. (Commission File No. 001-35002) Application for Withdrawal of Registration Statement on Form S-3 (File No. 333-206709) Dear Sir or Madam: 6D Global Technologies, Inc. (the ?Company?) initially filed a registrat

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant, Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review, Other Events

sixdglobal8k032316.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 17, 2016 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 47-1899833 (State or Other Jurisdiction (Commission File

Letter from BDO, dated March 21, 2016

ex16-2.htm Exhibit 16.2 Tel: 212-885-8000 100 Park Avenue Fax: 212-697-1299 New York, NY 10017 www.bdo.com March 21, 2016 Tejune Kang Chairman, Board of Directors 6D Global Technologies, Inc. 17 State Street, Suite 2550 New York, NY 10004 Pete Chrzaszcz Director, Board of Directors Michael Bannout Director, Board of Directors Adam Hartung Director, Board of Directors Dear Messrs. Kang, Chrzaszcz,

Letter from BDO, dated March 23, 2016

ex16-3.htm Exhibit 16.3 Tel: 212-885-8000 100 Park Avenue Fax: 212-697-1299 New York, NY 10017 www.bdo.com March 23, 2016 Securities and Exchange Commission 450 5th Street N.W. Washington, D.C. 20549 We have been furnished with a copy of the responses to Item 4.01 and Item 4.02 of Form 8-K for the event that occurred on March 21, 2016, to be filed by 6D Global Technologies, Inc. We agree with the

Letter from BDO, dated March 17, 2016.

EX-16.1 3 ex16-1.htm EX-16.1 Exhibit 16.1 Tel: 212-885-8000 100 Park Avenue Fax: 212-697-1299 New York, NY 10017 www.bdo.com March 17, 2016 Mr. Tejune Kang, Chairman of the Board Mr. Mark Szynkowski, Chief Financial Officer 6D Global Technologies, Inc. 17 State Street Suite 450 New York, NY 10004 Dear Messrs. Kang and Szynkowski: This is to confirm that the client-auditor relationship between 6D G

Employment Agreement, dated March 17, 2016, by and between the Company and Tejune Kang.

ex10-1.htm Exhibit 10.1 EMPLOYMENT AGREEMENT EMPLOYMENT AGREEMENT (the ?Agreement?), dated as of March 17, 2016, between 6D Global Technologies, Inc., a Delaware corporation (the ?Company?), and Tejune Kang (the ?Employee?). W I T N E S S E T H : WHEREAS, the Company desires to employ the Employee as its Chief Executive Officer (in addition, Employee will function as the Chairman of the Board of D

6D Global Technologies NT 10-K

sixdglobaltech-nt10k123115.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number 001-35002 CUSIP Number 83002F100 (Check One): ? Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For Period Ended: December 31, 2015 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Trans

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

sixdglobaltech8k012016.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 14, 2016 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 47-1899833 (State or Other Jurisdiction (Commission

Stockholders’ Agreement, dated as of January 14, 2016, by and between 6D Global Technologies, Inc. and NYGG (Asia) Ltd. and Exhibit A thereto, Irrevocable Proxy, dated as of January 14, 2016, by and between 6D Global Technologies, Inc. and NYGG (Asia) Ltd.

ex10-1.htm Exhibit 10.1 STOCKHOLDERS' AGREEMENT STOCKHOLDERS ' AGREEMENT (this "Agreement"), dated as of January 14, 2016 between 6D Global Technologies, Inc., a Delaware corporation (the "Company"), and NYGG (Asia) Ltd., a company organized under the laws of the British Virgin Islands, for itself and on behalf of its affiliates (collectively, " Stockholders"). WHEREAS, the Company 's common stock

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

8-K 1 sixdglobaltech8k011516.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 2, 2015 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 47-1899833 (State or Other Jurisdiction (

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

sixdglobal8k112515.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 20, 2015 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 47-1899833 (State or Other Jurisdiction (Commission Fi

Financial Statements and Exhibits, Results of Operations and Financial Condition

sixdglobal8k111715.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 18, 2015 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 47-1899833 (State or Other Jurisdiction (Commission Fi

6D Global Technologies, Inc. Announces Quarterly Financial Results

EX-99.1 2 ex99-1.htm EX-99.1 Exhibit 99.1 PRESS RELEASE 6D Global Technologies, Inc. Announces Quarterly Financial Results New York, NY – November 18, 2015 – 6D Global Technologies, Inc. (NASDAQ: SIXD), a premier digital business solutions company listed on NASDAQ under stock symbol “SIXD,” today announced its financial results for the quarter ended September 30, 2015. Third Quarter Financial High

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

sixdglobal8k102915.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 24, 2015 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 47-1899833 (State or Other Jurisdiction (Commission Fil

7,640,388 Shares of Common Stock 6D GLOBAL TECHNOLOGIES, INC.

sixdglobal424b3-101615.htm Prospectus Supplement No. 1 (To Prospectus Dated September 21, 2015) Filed pursuant to Rule 424(b)(3) Registration No. 333-206709 7,640,388 Shares of Common Stock 6D GLOBAL TECHNOLOGIES, INC. This prospectus supplement supplements the prospectus filed by 6D Global Technologies, Inc. (the ?Company? or ?we?) on September 21, 2015. You should read this prospectus supplement

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

8-K 1 sixdglobal8k100615.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 30, 2015 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 47-1899833 (State or Other Jurisdiction (Co

PROSPECTUS Filed pursuant to Rule 424(b)(3) Registration No. 333-206709 7,640,388 Shares of Common Stock 6D GLOBAL TECHNOLOGIES, INC.

sixdglobal424b3-092115.htm PROSPECTUS Filed pursuant to Rule 424(b)(3) Registration No. 333-206709 7,640,388 Shares of Common Stock 6D GLOBAL TECHNOLOGIES, INC. We are registering 7,640,388 shares of our common stock, par value $0.00001 per share (the ?Common Stock?) for sale by the selling stockholders set forth herein. Such aggregate number of shares represents the sum of (i) 6,000,000 shares of

6D Global Technologies S-3/A

sixdglobal-s3a091715.htm As filed with the Securities and Exchange Commission on September 17 , 2015 Registration No. 333- 206709 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 98-0516425 (State or

6D Global Technologies ESP

sixdglobal-corresp091615.htm 17 STATE STREET, SUITE 2550 NEW YORK, NY 10004 September 16, 2015 VIA EDGAR United States Securities and Exchange Commission (the ?Commission?) Division of Corporation Finance 100 F. Street, N.E. Washington, D.C. 20549 Attn: Tom Kluck Peggy Kim Re: 6D Global Technologies, Inc. (the ?Company?) Registration Statement on Form S-3 Filed September 1, 2015 File No. 333-20670

6D Global Technologies ESP

sixdglobal-corresp091515.htm 17 STATE STREET, SUITE 2550 NEW YORK, NY 10004 September 15, 2015 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F. Street, N.E. Washington, D.C. 20549 Attn: William Demarest Daniel L. Gordon Re: 6D Global Technologies, Inc. Forms 10-K and 10-K/A for the Year Ended December 31, 2014 Filed March 30, 2015 and March 31, 2015

6D Global Technologies S-3

sixdglobal-s3083115.htm As filed with the Securities and Exchange Commission on September 1, 2015 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 98-0516425 (State or other jurisdiction of (I.R.S.

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Material Modification to Rights of Security Holders, Unregistered Sales of Equity Securities, Financial Statements and Exhibits

sixdglobal8k081315.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 10, 2015 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 98-0516425 (State or Other Jurisdiction (Commission File

Stock Purchase Agreement, dated as of August 10, 2015, by and between 6D Global Technologies, Inc. and the investor named therein

ex10-1.htm Exhibit 10.1 STOCK PURCHASE AGREEMENT This Stock Purchase Agreement (?Agreement?) is made and entered into on August 10, 2015 (?Effective Date?), by and between 6D Global Technologies, Inc., a Delaware corporation (?Company?), and the investor whose name appears on the signature page hereto (?Investor?). Recitals A. The parties desire that, upon the terms and subject to the conditions h

Certificate of Designations of Preferences, Powers, Rights and Limitations of Series A Redeemable Convertible Preferred Stock.

ex3-1.htm Exhibit 3.1 6D GLOBAL TECHNOLOGIES, INC. CERTIFICATE OF DESIGNATIONS OF PREFERENCES, POWERS, RIGHTS AND LIMITATIONS OF SERIES A REDEEMABLE CONVERTIBLE PREFERRED STOCK The undersigned, Tejune Kang and Mark Szynkowski, hereby certify that: 1. The undersigned are the Chief Executive Officer and Chief Financial Officer, respectively, of 6D Global Technologies, Inc., a Delaware corporation (t

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

sixdglobaltech8k071415.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 14, 2015 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 98-0516425 (State or Other Jurisdiction (Commission Fi

Certificate of Amendment of Certificate of Incorporation of 6D Global Technologies, Inc.

ex3-1.htm Exhibit 3.1 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION OF 6D GLOBAL TECHNOLOGIES, INC. 6D GLOBAL TECHNOLOGIES, INC., a corporation duly organized and existing under the General Corporation Law of the State of Delaware (the ?Corporation?), does hereby certify that: 1. The Certificate of Incorporation of the Corporation is hereby amended by deleting Article V thereof in its e

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders

8-K 1 sixdglobaltech8k060815.htm 8-K 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 Date of Report (Date of earliest event reported): June 3, 2015 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 98-0516425 (State or Other Jur

UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL STATEMENTS

ex99-2.htm Exhibit 99.2 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL STATEMENTS The following unaudited pro forma condensed combined financial information presents the unaudited pro forma condensed combined statement of operations based upon the combined historical financial statements of 6D Global Technologies (?the Company? or ?6D Global?), Topaz Interactive, LLC (?Storycode?) and SwellPath

Financial Statements and Exhibits

sixdglobal8ka060415.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Amendment No. 1 to Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 20, 2015 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 98-051

SWELLPATH INC. FINANCIAL STATEMENTS FOR THE PERIODS DECEMBER 31, 2014 AND DECEMBER 31, 2013 SwellPath Inc. For the Period December 31, 2014 and December 31, 2013 Index to the Financial Statements

ex99-1.htm Exhibit 99.1 SWELLPATH INC. FINANCIAL STATEMENTS FOR THE PERIODS DECEMBER 31, 2014 AND DECEMBER 31, 2013 SwellPath Inc. For the Period December 31, 2014 and December 31, 2013 Index to the Financial Statements Page Report of Independent Registered Public Accounting Firm 3 Balance Sheets at December 31, 2014 and 2013 4 Statements of Operations for the Years Ended December 31, 2014 and 201

UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL STATEMENTS

ex99-2.htm Exhibit 99.2 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL STATEMENTS The following unaudited pro forma condensed combined financial information presents the unaudited pro forma condensed combined statement of operations based upon the combined historical financial statements of 6D Global Technologies (?the Company? or ?6D Global?), and Topaz Interactive, LLC, (?Storycode?) after giv

TOPAZ INTERACTIVE, LLC FINANCIAL STATEMENTS FOR THE PERIOD SEPTEMBER 16, 2014 (date of inception) THROUGH DECEMBER 31, 2014

ex99-1.htm Exhibit 99.1 TOPAZ INTERACTIVE, LLC FINANCIAL STATEMENTS FOR THE PERIOD SEPTEMBER 16, 2014 (date of inception) THROUGH DECEMBER 31, 2014 1 Topaz Interactive, LLC For the Period September 16, 2014 (date of inception) Through December 31, 2014 Index to the Financial Statements Page Report of Independent Registered Public Accounting Firm 3 Balance Sheet at December 31, 2014 4 Statement of

Financial Statements and Exhibits

sixdglobal8ka051915.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Amendment No. 1 to Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 4, 2015 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 98-0516

6D Global Technologies DEF 14A

sixdglobal-def14a043015.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION 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 o Check the appropriate box: o Preliminary Proxy Statemen

6D Global Technologies PRE 14A

sixdglobaltech-pre14a041715.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION 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 o Check the appropriate box: x Preliminary Proxy Stat

6D Global Technologies, Inc. Announces Record 2014 Financial Results

Exhibit 99.1 PRESS RELEASE 6D Global Technologies, Inc. Announces Record 2014 Financial Results New York, NY – March 30, 2015 – 6D Global Technologies, Inc. (NASDAQ: SIXD), a premier digital business solutions company, announced its audited financial results for the fiscal year ended December 31, 2014. · Revenue of $11.8 million, an increase of approximately 22% compared to 2013 · Record gross pro

Financial Statements and Exhibits, Results of Operations and Financial Condition

sixdglobal8k032715.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 30, 2015 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 98-0516425 (State or Other Jurisdiction (Commission File

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Completion of Acquisition or Disposition of Assets

sixdglobal8k032015.htm 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 Date of Report (Date of earliest event reported): March 20, 2015 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 98-0516425 (State or other Jurisdiction of

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Completion of Acquisition or Disposition of Assets

sixdglobal8k030515.htm 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 Date of Report (Date of earliest event reported): March 4, 2015 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 98-0516425 (State or other Jurisdiction of

SIXD / 6D Global Technologies, Inc. DEF 14C - - DEF 14C

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: o Preliminary Information Statement x Definitive Information Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) 6D GLOBAL TECHNOLOGIES, INC. (Name of Registrant

6D Global Technologies, Inc. Appoints Chief Financial Officer

Exhibit 99.1 PRESS RELEASE 6D Global Technologies, Inc. Appoints Chief Financial Officer New York, NY – December 23, 2014 – 6D Global Technologies, Inc. (NASDAQ: SIXD), a premier digital business solutions company serving the digital marketing and technology needs of enterprise-class organizations worldwide, is pleased to announce that Mark Szynkowski has been appointed Chief Financial Officer. In

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 23, 2014 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 98-0516425 (State or Other Jurisdiction (Commission File Number) (IRS Employe

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 Date of Report (Date of earliest event reported): December 9, 2014 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 98-0516425 (State or other Jurisdiction of Incorporation) (Comm

6D Global Technologies, Inc. Initiates Trading on the NASDAQ Stock Market, Stock Symbol “SIXD”

EX-99.1 2 ex99-1.htm EX-99.1 Exhibit 99.1 PRESS RELEASE 6D Global Technologies, Inc. Initiates Trading on the NASDAQ Stock Market, Stock Symbol “SIXD” New York, NY – December 9, 2014 – 6D Global Technologies, Inc. (NASDAQ: SIXD), a premier digital business solutions company serving the digital marketing and technology needs of enterprise-class organizations worldwide, today announced that 6D Globa

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 Date of Report (Date of earliest event reported): December 4, 2014 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 98-0516425 (State or other Jurisdiction of Incorporation) (Comm

6D Global Technologies, Inc.

Exhibit 99.1 6D Global Technologies, Inc. Pro Forma Balance Sheet Current Assets Sep. 30, 2014 Pro Forma Adjustments Nov. 21, 2014 Cash 4,593,714 349,350 4,943,064 Accounts receivable 1,323,057 540,013 1,863,070 Unbilled revenues 181,273 (181,273 ) - Deferred tax assets 79,146 - 79,146 Prepaid expenses and other current assets 61,762 184,324 246,086 Total Current Assets 6,238,952 892,414 7,131,366

Form of Subscription Agreement between 6D Global Technologies, Inc. and investors

EX-10.1 2 ex10-1.htm EX-10.1 Exhibit 10.1 CONFIDENTIAL SUBSCRIPTION AGREEMENT This CONFIDENTIAL SUBSCRIPTION AGREEMENT (this “Subscription Agreement”) is dated as of the 13th day of November 2014, between 6D Global Technologies, Inc., a Delaware corporation, with principal offices at 17 State Street, Suite 450, New York, New York 10004 (the “Company”) and the person or persons listed and signing o

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits

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 Date of Report (Date of earliest event reported): November 21, 2014 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 98-0516425 (State or other Jurisdiction of Incorporation) (Com

Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant

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 Date of Report (Date of earliest event reported): October 22, 2014 6D GLOBAL TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-35002 98-0516425 (State or other Jurisdiction of Incorporation) (Comm

Letter from Marcum LLP re Certifying Change in Account

Exhibit 16.2 October 27, 2014 Securities and Exchange Commission 100 F Street N.E. Washington, DC 20549 Commissioners: We have read the statements made by 6D Global Technologies, Inc. under Item 4.01 of its Form 8-K dated October 22, 2014. We agree with the statements concerning our Firm in such Form 8-K; we are not in a position to agree or disagree with other statements of 6D Global Technologies

Letter from Goldman Kurland & Mohidin LLP re Certifying Change in Account

Exhibit 16.1 October 27, 2014 Securities and Exchange Commission 100 F Street N.E. Washington, DC 20549 Ladies and Gentlemen: We have read Item 4.01 of Form 8-K, dated October 22, 2014 of 6D Global Technologies, Inc. (formerly Clean Tech Innovations, Inc.) and agree with the statements concerning our Firm therein. We have no basis to agree or disagree with other statements of the registrant contai

Letter from Li and Company, PC re Certifying Change in Account

Exhibit 16.3 October 24, 2014 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Dear Sir or Madam: We have read the statements of 6D Global Technologies, Inc. (the “Company”) pertaining to our firm included under Item 4.01 of Form 8-K dated October 22, 2014 and agree with such statements as they pertain to our firm. We have no basis to agree or disagree with other statemen

SIXD / 6D Global Technologies, Inc. / MCEWEN TERRY K - SC 13D/A Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Information to be Included in Statements Filed Pursuant to Rule 13d-1(a) and Amendments Thereto Filed Pursuant to Rule 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. 1)* 6D GLOBAL TECHNOLOGIES, INC. (Name of Issuer) Common Stock, par value $0.00001 (Title of Class of Securities) 8

SIXD / 6D Global Technologies, Inc. / Li Roger - SC 13D Activist Investment

UNITED STATES SECURITIES AND EXCHANGECOMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Information to be Included in Statements Filed Pursuant to Rule 13d-1(a) and Amendments Thereto Filed Pursuant to Rule 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. )* 6D GLOBAL TECHNOLOGIES, INC. (Name of Issuer) Common Stock, par value $0.00001 (Title of Class of Securities) 830

SIXD / 6D Global Technologies, Inc. / NYGG (Asia) Ltd. - SC 13D Activist Investment

UNITED STATES SECURITIES AND EXCHANGECOMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Information to be Included in Statements Filed Pursuant to Rule 13d-1(a) and Amendments Thereto Filed Pursuant to Rule 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. )* 6D GLOBAL TECHNOLOGIES, INC. (Name of Issuer) Common Stock, par value $0.00001 (Title of Class of Securities) 830

SIXD / 6D Global Technologies, Inc. / Kang Tejune - SC 13D Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Information to be Included in Statements Filed Pursuant to Rule 13d-1(a) and Amendments Thereto Filed Pursuant to Rule 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. )* 6D GLOBAL TECHNOLOGIES, INC. (Name of Issuer) Common Stock, par value $0.00001 (Title of Class of Securities) 83

Articles of Conversion, as filed with the Nevada Secretary of State on September 25, 2014

Exhibit 3.1 ROSS MILLER Secretary of State 204 North Carson Street, Suite 1 Carson City, Nevada 89701-4520 (775) 684-5708 Website: www.nvsos.gov Articles of Conversion (PURSUANT TO NRS 92A.205) Articles of Conversion (Pursuant to NRS 92A.205) 1. Name and jurisdiction of organization of constituent entity and resulting entity: Name of constituent entity: CleanTech Innovations, Inc. Jurisdiction: Ne

Debt Conversion Agreement dated as of September 29, 2014 between 6D Global Technologies, Inc. and NYGG (Asia) Ltd.

Exhibit 10.1 EXECUTION COPY DEBT CONVERSION AGREEMENT This Debt Conversion Agreement (this “Agreement”) is made as of September 29, 2014 by and between 6D Global Technologies, Inc., a Delaware corporation, as successor to CleanTech Innovations, Inc., a Nevada corporation (the “Company”) and NYGG (Asia) Ltd. (the “Debt Holder”). RECITALS A. As of the date hereof, the Company effected a plan of conv

Certificate of Conversion, as filed with the Delaware Secretary of State on September 25, 2014

Exhibit 3.2 STATE OF DELAWARE CERTIFICATE OF CONVERSION FROM A NON-DELAWARE CORPORATION TO A DELAWARE CORPORATION PURSUANT TO SECTION 265 OF THE DELAWARE GENERAL CORPORATION LAW 1) The jurisdiction where the Non-Delaware Corporation first formed is Nevada. 2) The jurisdiction immediately prior to filing this Certificate is Nevada. 3) The date the Non-Delaware Corporation first formed is May 9, 200

Changes in Control of Registrant, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Material Modification to Rights of Security Holders, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets

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 Date of Report (Date of earliest event reported): September 29, 2014 6D GLOBAL TECHNOLOGIES, INC. (Formerly known as Cleantech Innovations, Inc.) (Exact name of registrant as specified in its charter) Delaware 001-35002 98-0516425 (S

Certificate of Incorporation of 6D Global Technologies, Inc.

Exhibit 3.3 State of Delaware Secretary of State Division of-Corporations Delivered 02:10 PM 09/25/2014 FILED 02:06 PM 09/25/2014 SRV 141222108 - 5610287 FILE CERTIFICATE OF INCORPORATION OF 6D GLOBAL TECHNOLOGIES, INC., a Delaware Corporation The undersigned, a natural person, for the purpose of organizing a corporation for conducting the business and promoting the purposes hereinafter stated, un

Bylaws of 6D Global Technologies, Inc.

Exhibit 3.4 BY-LAWS OF 6D GLOBAL TECHNOLOGIES, INC. A Delaware corporation (the “Corporation”) ARTICLE I OFFICES Offices. The registered office of the Corporation is located in the city and state designed by the Corporation in its Certificate of Incorporation. The Corporation may also maintain offices at such other places both within and without the State of Delaware as the Board of Directors may

Plan of Conversion, dated September 29, 2014

Exhibit 2.1 PLAN OF CONVERSION OF CLEANTECH INNOVATIONS, INC., a Nevada corporation, INTO 6D GLOBAL TECHNOLOGIES, INC., a Delaware corporation This PLAN OF CONVERSION (this “Plan”), dated as of September 29, 2014, is hereby adopted by CleanTech Innovations, Inc., a Nevada corporation (“CleanTech”), in order to set forth the terms, conditions and procedures governing the conversion of CleanTech int

Form of Common Stock Certificate of 6D Global Technologies, Inc.

Exhibit 4.1 NOT VALID UNLESS COUNTERSIGNED BY TRANSFER AGENT. INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE. [Logo of 6D Global Technologies, Inc.] AUTHORIZED COMMON STOCK: 150,000,000 SHARES PAR VALUE: $0.00001 6D Global Technologies, Inc. CUSIP NO. 83002F100 THIS CERTIFIES THAT IS THE RECORD HOLDER OF Common Shares of 6D Global Technologies, Inc. transferable on the books of the Corporati

Certificate of Change Pursuant to NRS 78.209

EX-3.1 Exhibit 3.1 ROSS MILLER Secretary of State 204 North Carson Street, Suite 1 Carson City, Nevada 89701-4520 (775) 684-5708 Website: www.nvsos.gov Filed in the office of Document Number 20140654127-82 Filing Date and Time Certificate of Change Pursuant to NRS 78.209 Ross Miller 09/10/2014 11:51 AM Secretary of State State of Nevada Entity Number E0347182006-8 USE BLACK INK ONLY — DO NOT HIGHL

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits, Other Events

8-K 1 d790306d8k.htm 8-K 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 Date of Report (Date of earliest event reported): September 10, 2014 CLEANTECH INNOVATIONS, INC. (Exact name of registrant as specified in its charter) Nevada 001-35002 98-0516425 (State or other Jurisdiction

Other Events

FORM 8-K 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 Date of Report (Date of earliest event reported): September 8, 2014 CLEANTECH INNOVATIONS, INC. (Exact name of registrant as specified in its charter) Nevada 001-35002 98-0516425 (State or other Jurisdiction of Incorporation

SIXD / 6D Global Technologies, Inc. DEF 14C - - DEF 14C

DEF 14C Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

SIXD / 6D Global Technologies, Inc. PRER14C - - PRER14C

PRER14C Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

SIXD / 6D Global Technologies, Inc. CORRESP - -

CORRESP Terry McEwen CleanTech Innovations, Inc. August 28, 2014 VIA EDGAR AND ELECTRONIC MAIL U.S. Securities and Exchange Commission Division of Corporation Finance 100 F. Street, N.E. Washington, D.C. 20549 Attn: Pamela Long, Assistant Director Re: CleanTech Innovations, Inc. Amendment No. 3 to Preliminary Information Statement on Schedule 14C Filed August 13, 2014 File No. 001-35002 Dear Ms. L

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

Form 8-K 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 Date of Report (Date of earliest event reported): August 20, 2014 CLEANTECH INNOVATIONS, INC. (Exact name of registrant as specified in its charter) Nevada 001-35002 98-0516425 (State or other Jurisdiction of Incorporation)

SIXD / 6D Global Technologies, Inc. CORRESP - -

CORRESP 2 filename2.htm Terry McEwen CleanTech Innovations, Inc. August 13, 2014 VIA EDGAR AND ELECTRONIC MAIL U.S. Securities and Exchange Commission Division of Corporation Finance 100 F. Street, N.E. Washington, D.C. 20549 Attn: Pamela Long, Assistant Director Re: CleanTech Innovations, Inc. Amendment No. 1 and Amendment No. 2 Preliminary Information Statement on Schedule 14C Filed July 29, 201

SIXD / 6D Global Technologies, Inc. PRER14C - - REVISED PRELIMINARY INFORMATION STATEMENT

Revised Preliminary Information Statement Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

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 Date of Report (Date of earliest event reported): August 4, 2014 CLEANTECH INNOVATIONS, INC. (Exact name of registrant as specified in its charter) Nevada 001-35002 98-0516425 (State or other Jurisdiction of Incorporation) (Commissio

SIXD / 6D Global Technologies, Inc. PRER14C - - REVISED PRELIMINARY INFORMATION STATEMENT

PRER14C 1 d746263dprer14c.htm REVISED PRELIMINARY INFORMATION STATEMENT Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 2 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: x Preliminary Information Statement ¨ Confidential, for Use of the Commission Only

SIXD / 6D Global Technologies, Inc. CORRESP - -

CORRESP July 28, 2014 VIA EDGAR AND ELECTRONIC MAIL U.S. Securities and Exchange Commission Division of Corporation Finance 100 F. Street, N.E. Washington, D.C. 20549 Attn: Pamela Long, Assistant Director Re: CleanTech Innovations, Inc. Preliminary Information Statement on Schedule 14C Filed June 24, 2014 File No. 001-35002 Dear Ms. Long: On behalf of CleanTech Innovations, Inc. ( the “Company”),

SIXD / 6D Global Technologies, Inc. PRER14C - - REVISED PRELIMINARY INFORMATION STATEMENT

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: x Preliminary Information Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ¨ Definitive Information Statement CL

SIXD / 6D Global Technologies, Inc. / MCEWEN TERRY K - SC 13D Activist Investment

SC 13D 1 cleantech-sc13dmcewen070114.htm SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Information to be Included in Statements Filed Pursuant to Rule 13d-1(a) and Amendments Thereto Filed Pursuant to Rule 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. )* CLEANTECH INNOVATIONS, INC. (Name of Issuer) Common Stock, par v

Certificate of Change Pursuant to NRS 78.209 filed by the Registrant on July 2, 2014

Exhibit 3.1 [Certificate of Change] ROSS MILLER Secretary of State 204 North Carson Street, Suite 1 Carson City, Nevada 89701-4520 (775) 684-5708 Website: www.nvsos.gov Certificate of Change Pursuant to NRS 78.209 USE BLACK INK ONLY - DO NOT HIGHLIGHT ABOVE SPACE IS FOR OFFICE USE ONLY Certificate of Change filed Pursuant to NRS 78.209 For Nevada Profit Corporations 1. Name of corporation: Cleante

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, 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 Date of Report (Date of earliest event reported): June 30, 2014 CLEANTECH INNOVATIONS, INC. (Exact name of registrant as specified in its charter) Nevada 001-35002 98-0516425 (State or other Jurisdiction of Incorporation) (Commission

- PRELIMINARY INFORMATION STATEMENT

Preliminary Information Statement Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

- SC 14F1

SC 14F1 SCHEDULE 14F-1 INFORMATION STATEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14f-1 INFORMATION STATEMENT PURSUANT TO SECTION 14(F) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 14f-1 THEREUNDER CLEANTECH INNOVATIONS, INC.

Entry into a Material Definitive Agreement, Financial Statements and Exhibits - 8-K

8-K 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 Date of Report (Date of earliest event reported): June 13, 2014 CLEANTECH INNOVATIONS, INC. (Exact name of registrant as specified in its charter) Nevada 001-35002 98-0516425 (State or other Jurisdiction of Incorporation) (Commis

AGREEMENT AND PLAN OF SHARE EXCHANGE by and among CLEANTECH INNOVATIONS, INC., a Nevada corporation INITIAL KONCEPTS, INC., d/b/a SIX DIMENSIONS a California corporation and the SHAREHOLDER OF INITIAL KONCEPTS, INC., d/b/a SIX DIMENSIONS Dated June 1

EX-10.1 Exhibit 10.1 AGREEMENT AND PLAN OF SHARE EXCHANGE by and among CLEANTECH INNOVATIONS, INC., a Nevada corporation and INITIAL KONCEPTS, INC., d/b/a SIX DIMENSIONS a California corporation and the SHAREHOLDER OF INITIAL KONCEPTS, INC., d/b/a SIX DIMENSIONS Dated June 13, 2014 AGREEMENT AND PLAN OF SHARE EXCHANGE THIS AGREEMENT AND PLAN OF SHARE EXCHANGE (hereinafter referred to as the “Agree

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Financial Statements and Exhibits - 8-K

8-K 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 Date of Report (Date of earliest event reported): June 11, 2014 CLEANTECH INNOVATIONS, INC. (Exact name of registrant as specified in its charter) Nevada 001-35002 98-0516425 (State or other Jurisdiction of Incorporation) (Commis

DIVESTURE AND EXCHANGE AGREEMENT by and between CLEANTECH INNOVATIONS, INC. June 11, 2014 TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS 1 Section 1.01. General 1 ARTICLE 2 CONDITIONS PRECEDENT 4 Section 2.01. Actions as of the Effective Date 4 Section

EX-10.1 2 d741933dex101.htm EX-10.1 Exhibit 10.1 DIVESTURE AND EXCHANGE AGREEMENT by and between CLEANTECH INNOVATIONS, INC. and the Shareholders listed on Exhibit A attached hereto. June 11, 2014 TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS 1 Section 1.01. General 1 ARTICLE 2 CONDITIONS PRECEDENT 4 Section 2.01. Actions as of the Effective Date 4 Section 2.02. Financial Instruments 4 Section 2.03

RELEASE AND WAIVER AGREEMENT

EX-10.4 Exhibit 10.4 RELEASE AND WAIVER AGREEMENT This Release and Waiver Agreement (this “Agreement”) is dated and effective June 11, 2014 among Liaoning Creative Bellows Co., Ltd. (“Creative Bellows”) and Liaoning Creative Wind Power Equipment Co., Ltd. (“Wind Power,” together with Creative Bellows, the “Subsidiaries”), each of the foregoing a subsidiary of CleanTech Innovations, Inc. (“Cleantec

FORBEARANCE AND WAIVER AGREEMENT

EX-10.3 4 d741933dex103.htm EX-10.3 Exhibit 10.3 FORBEARANCE AND WAIVER AGREEMENT This Forbearance and Waiver Agreement (this “Agreement”) is dated and effective June 11, 2014 among CleanTech Innovations, Inc., a Nevada corporation with its principal executive offices located at C District, Maoshan Industry Park, Tieling Economic Development Zone, Tieling, Liaoning Province, China 112616 (the “Bor

ESCROW AGREEMENT

EX-10.2 3 d741933dex102.htm EX-10.2 Exhibit 10.2 ESCROW AGREEMENT This Escrow Agreement (“Escrow Agreement”) is entered into effective June 11, 2014, among Ping Chen, Shengfen Lin, Wenge Chen, Bei Lu and Dianfu Lu (collectively the “CTek Shareholders”), CLEANTECH INNOVATIONS, INC., a Nevada corporation with its principal executive offices located at C District, Maoshan Industry Park, Tieling Econo

- NT 10-K

NT 10-K 1 cleantech-nt10k123113.htm NT 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 001-35002 CUSIP NUMBER: 18451B101 (Check One): x Form 10-K o Form 20-F o Form 11-K o Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: December 31, 2013 o Transition Report on Form 10-K o Transition Report on Fo

$10,000,000 Promissory Note of CleanTech Innovations, Inc. to NYGG (Asia), dated August 17, 2013.

Exhibit 10.29 PROMISSORY NOTE FOR VALUE RECEIVED, and subject to the terms and conditions set forth herein, CleanTech Innovations, Inc., a Nevada corporation listed on the NASDAQ Stock Market, which wholly owns its operating entities in the People’s Republic of China (“China”), with its principal executive offices located at C District, Maoshan Industry Park, Tieling Economic Development Zone, Tie

Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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 Date of Report (Date of earliest event reported): August 17, 2013 CLEANTECH INNOVATIONS, INC. (Exact name of registrant as specified in its charter) Nevada 001-35002 98-0516425 (State or other Jurisdiction of Incorporation) (Commissi

6D Global Technologies 10-Q (Quarterly Report)

cleantech10q093013.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2013 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-35002 CLEANTECH INNOVATIONS, INC.

6D Global Technologies 10-K (Annual Report)

10-K 1 cleantech10k123112.htm 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2012 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

6D Global Technologies 10-Q (Quarterly Report)

cleantech10q063013.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2013 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-35002 CLEANTECH INNOVATIONS, INC. (Exa

6D Global Technologies 10-Q (Quarterly Report)

10-Q 1 cleantech10q033113.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2013 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-35002 CLEANTECH INNOVATIO

6D Global Technologies 10-Q (Quarterly Report)

10-Q 1 cleantech10q093012.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2012 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-35002 CLEANTECH INNOV

6D Global Technologies 10-Q (Quarterly Report)

cleantech10q063012.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2012 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-35002 CLEANTECH INNOVATIONS, INC. (Exa

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Other Events - 8-K

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 Date of Report (Date of earliest event reported): September 30, 2013 CLEANTECH INNOVATIONS, INC. (Exact name of registrant as specified in its charter) Nevada 001-35002 98-0516425 (State or other Jurisdiction of Incorporation) (Commi

CleanTech Innovations, Inc. Appoints Terry McEwen as an Independent Director and Chairman of its Audit Committee

Exhibit 99.99 CleanTech Innovations, Inc. Appoints Terry McEwen as an Independent Director and Chairman of its Audit Committee New York, New York, October 1, 2013 /PR Newswire/ - CleanTech Innovations, Inc. ("CleanTech") (Nasdaq:CTEK - News), today announces that the Board of Directors of CleanTech is pleased to welcome a seasoned banking industry regulator, Terry K. McEwen, as an independent memb

CleanTech Innovations, Inc.Announces SEC Decision Setting Aside 2011 NASDAQ Delisting of CleanTech Common Stock NASDAQ Relists CleanTech as a Result of SEC Decision; CleanTech Announces Receipt of Notice from NASDAQ

Exhibit 99.99 FOR IMMEDIATE RELEASE July 29, 2013 CleanTech Innovations, Inc.Announces SEC Decision Setting Aside 2011 NASDAQ Delisting of CleanTech Common Stock NASDAQ Relists CleanTech as a Result of SEC Decision; CleanTech Announces Receipt of Notice from NASDAQ Shenyang, Liaoning Province, China (July 29, 2013) – CleanTech Innovations, Inc. (“CleanTech”) (Nasdaq: CTEK - News), today announced

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits -

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 Date of Report (Date of earliest event reported): July 24, 2013 CLEANTECH INNOVATIONS, INC. (Exact name of registrant as specified in its charter) Nevada 001-35002 98-0516425 (State or other Jurisdiction of Incorporation) (Commission

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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 001-35002 CUSIP NUMBER: 18451B101 (Check One): o Form 10-K o Form 20-F o Form 11-K x Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: June 30, 2012 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11-K o Trans

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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 001-35002 CUSIP NUMBER: 18451B101 (Check One): o Form 10-K o Form 20-F o Form 11-K x Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: March 31, 2012 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11-K o Tran

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers -

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 Date of Report (Date of earliest event reported): April 2, 2012 CLEANTECH INNOVATIONS, INC. (Exact name of registrant as specified in its charter) Nevada 001-35002 98-0516425 (State or other Jurisdiction of Incorporation) (Commission

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 Date of Report (Date of earliest event reported): March 21, 2012 CLEANTECH INNOVATIONS, INC. (Exact name of registrant as specified in its charter) Nevada 001-35002 98-0516425 (State or other Jurisdiction of Incorporation) (Commissio

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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 Date of Report (Date of earliest event reported): March 1, 2012 CLEANTECH INNOVATIONS, INC. (Exact name of registrant as specified in its charter) Nevada 001-35002 98-0516425 (State or other Jurisdiction of Incorporation) (Commission

First Amendment to the Loan Agreement and Promissory Note between NYGG (Asia), Ltd. and CleanTech Innovations, Inc., dated March 1, 2012

Exhibit 10.28 FIRST AMENDMENT TO THE LOAN AGREEMENT AND PROMISSORY NOTE This First Amendment (the “First Amendment”), dated March 1, 2012 is being entered into between the Company and the Lender (as each term is defined below) and amends: (A) the Loan Agreement (the “Loan Agreement”), dated December 13, 2010, between CleanTech Innovations, Inc., a Nevada corporation with its principal executive of

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 Date of Report (Date of earliest event reported): February 21, 2012 CLEANTECH INNOVATIONS, INC. (Exact name of registrant as specified in its charter) Nevada 001-35002 98-0516425 (State or other Jurisdiction of Incorporation) (Commis

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 Date of Report (Date of earliest event reported): January 31, 2012 CLEANTECH INNOVATIONS, INC. (Exact name of registrant as specified in its charter) Nevada 001-35002 98-0516425 (State or other Jurisdiction of Incorporation) (Commiss

March 4, 2011

Exhibit 99.15 June 6, 2011 Sent via Electronic Mail ([email protected]) The NASDAQ Listing and Hearing Review Council c/o T. Sean Bennett, Esq. Office of Appeals and Review Office of General Counsel The NASDAQ Stock Market LLC 9600 Blackwell Road Rockville, MD 20850 Re: CleanTech Innovations, Inc. (CTEK) NASDAQ Listing Qualifications Hearings; Docket NQ 5872C-11 Dear Members of the Listing and

OFFICIAL LETTER - English Translation (China LiaoNing Provincial Government Small and Medium Enterprises Bureau)

Exhibit 99.14 OFFICIAL LETTER - English Translation (China LiaoNing Provincial Government Small and Medium Enterprises Bureau) To: The Honorable John Bryson, Secretary U.S. Department of Commerce 1401 Constitution Ave., NW Washington, D.C. 20230 January 8, 2012 Re: The Investigation of Discriminatory Actions by the Nasdaq Stock Market Against Chinese Companies Dear Honorable Mr. Commerce Secretary

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 Date of Report (Date of earliest event reported): January 5, 2012 CLEANTECH INNOVATIONS, INC. (Exact name of registrant as specified in its charter) Nevada 001-35002 98-0516425 (State or other Jurisdiction of Incorporation) (Commissi

CleanTech Innovations, Inc. Sues the NASDAQ Stock Market for Racism and Discrimination

EX-99.99 2 ex99-99.htm Exhibit 99.99 CleanTech Innovations, Inc. Sues the NASDAQ Stock Market for Racism and Discrimination NEW YORK, January 18, 2012 / PRNewswire / - CleanTech Innovations, Inc. (OTCQB: CTEK, “CleanTech”), a U.S. company and manufacturer of wind towers and other industrial products serving the renewable energy industry, announced that it has filed an amended complaint in the Unit

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 Date of Report (Date of earliest event reported): January 18, 2012 CLEANTECH INNOVATIONS, INC. (Exact name of registrant as specified in its charter) Nevada 001-35002 98-0516425 (State or other Jurisdiction of Incorporation) (Commiss

THE PARTIES

Exhibit 99.13 UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK -x CLEANTECH INNOVATIONS, INC., 11 Civ. 9358 (KBF) Plaintiff, AMENDED COMPLAINT v. NASDAQ STOCK MARKET, LLC and NASDAQ OMX GROUP, INC., Defendants. -x Plaintiff CleanTech Innovations, Inc. ("CleanTech" or the "Company") brings this action for injunctive relief and damages against Defendants NASDAQ Stock Market, LLC ("NASDAQ")

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CLEANTECH INNOVATIONS, INC. C District, Maoshan Industry Park, Tieling Economic Development Zone, Tieling, Liaoning Province, China 112616 (86) 0410-6129922 September 29, 2011 VIA EDGAR Pamela Long Assistant Director Division of Corporation Finance Mail Stop 4631 U.S. Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Re: CleanTech Innovations, Inc. Post-effective amendmen