Item 5. Other Information
Item 5. Other Information.
None.
Item 6. Exhibits
The following exhibits are filed herewith:
Number
Exhibit
4.1
Form of Certificate of Designation of Series A Convertible Preferred Stock (incorporated by reference to Exhibit 10.2 to our Current Report on Form 8-K filed on November 4, 2020)
4.2
Form of Warrant (incorporated by reference to Exhibit 10.3 to our Current Report on Form 8-K filed on November 4, 2020)
4.3
Form of Warrant to Purchase Common Stock (incorporated by reference to Exhibit 4.1 to our Current Report on Form 8-K filed on December 9, 2020)
4.4
Form of Warrant (incorporated by reference to Exhibit 4.1 to our Current Report on Form 8-K filed on January 28, 2021)
4.5
Form of Warrant (incorporated by reference to Exhibit 4.1 to our Current Report on Form 8-K filed on February 8, 2021)
4.6
Form of Warrant (incorporated by reference to Exhibit 4.1 to our Current Report on Form 8-K filed on February 10, 2021)
10.1
Offer Letter between Sino-Global Shipping America, Ltd. and Xiaohuan Huang (incorporated by reference to Exhibit 10.1 to our Current Report on Form 8-K filed on October 23, 2020)
10.2
Form of Securities Purchase Agreement (incorporated by reference to Exhibit 10.1 to our Current Report on Form 8-K filed on November 4, 2020)
10.3
Securities Purchase Agreement dated December 8, 2020 (incorporated by reference to Exhibit 10.1 to our Current Report on Form 8-K filed on December 9, 2020)
10.4
Placement Agreement dated November 13, 2020 (incorporated by reference to Exhibit 10.2 to our Current Report on Form 8-K filed on December 9, 2020)
10.5
Form of Securities Purchase Agreement (incorporated by reference to Exhibit 10.1 to our Current Report on Form 8-K filed on January 28, 2020)
10.6
Employment Agreement by and between Mr. Lei Nie and Sino-Global Shipping America, Ltd., dated as of January 28, 2021 (incorporated by reference to Exhibit 10.1 to our Current Report on Form 8-K filed on January 29, 2021)
10.7
Employment Agreement by and between Mr. Xintang You and Sino-Global Shipping America, Ltd., dated as of January 28, 2021 (incorporated by reference to Exhibit 10.2 to our Current Report on Form 8-K filed on January 29, 2021)
40
10.8
Securities Purchase Agreement dated February 6, 2021 (incorporated by reference to Exhibit 10.1 to our Current Report on Form 8-K filed on February 8, 2021)
10.9
Placement Agreement dated February 5, 2021 (incorporated by reference to Exhibit 10.2 to our Current Report on Form 8-K filed on February 8, 2021)
10.10
Securities Purchase Agreement dated February 9, 2021 (incorporated by reference to Exhibit 10.1 to our Current Report on Form 8-K filed on February 10, 2021)
16.1
Letter from Friedman LLP dated October 28, 2020 (incorporated by reference to Exhibit 16.1 to our Current Report on Form 8-K filed on October 28, 2020)
31.1
Certification of the Principal Executive Officer pursuant to Rule 13a-14(a) or 15d-14(a) under the Securities Exchange Act of 1934, as amended, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
31.2
Certification of the Principal Financial Officer pursuant to Rule 13a-14(a) or 15d-14(a) under the Securities Exchange Act of 1934, as amended, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
32.1
Certifications of the Principal Executive Officer and the Principal Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
99.1
Nasdaq Compliance Letter Dated December 16, 2020 (incorporated by reference to Exhibit 16.1 to our Current Report on Form 8-K filed on December 16, 2020)
EX-101.INS
XBRL Instance Document.
EX-101.SCH
XBRL Taxonomy Extension Schema Document.
EX-101.CAL
XBRL Taxonomy Extension Calculation Linkbase Document.
EX-101.DEF
XBRL Taxonomy Extension Definition Linkbase Document.
EX-101.LAB
XBRL Taxonomy Extension Label Linkbase Document.
EX-101.PRE
XBRL Taxonomy Extension Presentation Linkbase Document.
41
SIGNATURES
In accordance with
the requirements of the Exchange Act, the registrant caused this report to be signed on its behalf by the undersigned, thereunto
duly authorized.
SINO-GLOBAL SHIPPING AMERICA, LTD.
February 12, 2021
By:
/s/ Lei Cao
Lei Cao
Chief Executive Officer
(Principal Executive Officer)
February 12, 2021
By:
/s/ Tuo Pan
Tuo Pan
Acting Chief Financial Officer
(Principal Financial Officer and
Principal Accounting Officer)
42
Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.