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SEC · EDGAR 财务披露·· 11 天前AI 评分47

Antelope Enterprise Holdings Ltd. 提交 6-K,披露 600 万美元可转换票据发行

6-K - Antelope Enterprise Holdings Ltd (0001470683) (Filer)

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Antelope Enterprise Holdings Ltd. 在 6-K 中披露,公司于 9 月 15 日完成注册直接发行,获得约 600 万美元毛收入,发行本金 600 万美元、年利率 8.00% 的可转换票据。票据无固定到期日,持有人可按规定价格转换为公司 A 类普通股,但受 9.99% 实益所有权上限约束。

正文

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 6-K

REPORT OF FOREIGN PRIVATE ISSUER

PURSUANT TO RULE 13a-16 OR 15d-16 OF THE

SECURITIES EXCHANGE ACT OF 1934

For the month of November 2026

ANTELOPE ENTERPRISE HOLDINGS LTD.

(Translation of registrant’s name into English)

Room 1802, Block D, Zhonghai International Center,

Hi- Tech Zone, Chengdu, Sichuan Province, PRC

(Address of Principal Executive Office)

Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F:

Form 20-F ☒ Form 40-F ☐

 
 

Entry into a Material Definitive Agreement

On September 10, 2026, Antelope Enterprise Holdings Ltd. (the “Registrant” or the “Company”) entered into a Note Purchase Agreement (the “Purchase Agreement”) with an accredited investor, for the issuance and sale of a convertible promissory note (the “Convertible Note”) with an original principal amount of $6,000,000 in a registered direct offering (the “Offering.”) The interest rate of the Convertible Note is 8.00% per annum.

The Convertible Note has an original principal amount of $6,000,000 and has no fixed maturity date. The entire unpaid principal and accrued interest of the Convertible Note shall become immediately due and payable upon the Company’s act of bankruptcy, execution of a general assignment for the benefit of creditors, filing or facing a bankruptcy petition without dismissal for over 90 days, or the appointment of a receiver. A holder may convert the Convertible Note into class A ordinary shares of the Company, no par value per share (the “Class A Ordinary Shares,”) subject to a 9.99% beneficial ownership limitation. The conversion price will equal 80% of the lowest of the volume-weighted average price per Class A Ordinary Share on the Nasdaq Capital Market, as reported by Bloomberg page ‘AEHL US AQR’ (or, if unavailable, a comparable nationally recognized data source reasonably selected by the Company) for the regular trading session during the three Trading Days (as defined in the Convertible Note) ending on and including the date of conversion.

The Offering closed on September 15, 2026. The Company received gross proceeds of approximately $6 million from the Offering before deducting estimated offering expenses payable by the Company.

The Convertible Note and the Class A Ordinary Shares issuable upon conversion of the Convertible Note were issued pursuant to a prospectus supplement, which was filed with the Securities and Exchange Commission on September 15, 2026, in connection with a takedown from the Company’s shelf registration statement on Form F-3 (File No. 333-295047), which was declared effective by the Securities and Exchange Commission on May 5, 2026 (the “Registration Statement”).

A copy of the opinion of Ogier relating to the legality of the issuance and sale of the securities is filed as Exhibit 5.1 hereto.

This Report on Form 6-K, including the exhibits hereto, is hereby incorporated by reference into the Registration Statement.

The foregoing description of the Purchase Agreement and the Convertible Note does not purport to be complete and is qualified in its entirety by reference to the full text of such agreements, copies of which are filed to this Current Report on Form 6-K as Exhibits 10.1 and 10.2, respectively and are incorporated herein by reference.

The information in this Form 6-K (including any exhibit hereto) is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that section, nor shall such information be deemed incorporated by reference into any filing under the Securities Act of 1933, as amended, except as expressly set forth by specific reference in such filing.

Exhibits

Exhibit No.   Exhibit Description
5.1   Opinion of Ogier
10.1*   Note Purchase Agreement, dated September 10, 2026
10.2*   Form of Convertible Promissory Note
23.1   Consent of Ogier (included in Exhibit 5.1)

* Certain of the exhibits and schedules to this Exhibit have been omitted in accordance with Regulation S-K Item 601(a)(5). The Registrant agrees to furnish a copy of all omitted exhibits and schedules to the SEC upon its request.

 
 

SIGNATURES

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.

Date: November 2, 2026 ANTELOPE ENTERPRISE HOLDINGS LTD.
     
  By:  /s/ Tingting Zhang
    Tingting Zhang
    Chief Executive Officer
 

来源:SEC EDGAR · 本站存档