Tri-Tech Holding, Inc. – Filings and Transcripts – BamSEC

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Late filing notification for annual report of foreign issuer

ended 12/31/14 FY 2014

ended 12/31/13 FY 2013

ended 09/30/13 Q3

Late quarterly filing notification for Q3 2013

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Removal from listing

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Shelf registration – amended

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KBI Global Investors Ltd

KBI Global Investors Ltd

KBI Global Investors Ltd

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Name Number of Options Warren Zhao 330,000 Peter Dong 283,140 Qun Wang 50,000 Yan Liu 50,000 Peiyao Zhang 30,000 Ming Zhu 30,000 Chunyu Gao 30,000 Total 803,140

Submission of Matters to a Vote of Security Holders

#1205 Tower B, Haidian Cultural and Arts Building Jia 28 Zhongguancun St. Haidian District, Beijing 100086 People’s Republic of China

On October 30, 2015, the Company Announced Final Court Approval of the Settlement and Dismissal of a Class Action Lawsuit Commenced on December 20, 2013 Against the Company and Its Board of Directors

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