Report of Foreign Issuer Pursuant to Rule 13a-16 or 15d-16 (6-k)
04 Décembre 2020 - 11:11PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM
6-K
REPORT OF FOREIGN PRIVATE ISSUER
PURSUANT TO RULE 13a-16 OR 15d-16 UNDER
THE SECURITIES EXCHANGE ACT OF 1934
For the Month of December 2020
Commission File No.: 001-37678
SPI
ENERGY CO., LTD.
#1128, 11/F, No. 52 Hung To Road
Kwun Tong, Kowloon
Hong Kong S.A.R.
(Address of Principal Executive Offices.)
Indicate by check mark whether the registrant files or will
file annual reports under cover Form 20-F or Form 40-F.
Form 20-F ☒ Form 40-F ☐
Indicate by check mark if the registrant is submitting the Form
6-K in paper as permitted by Regulation S-T Rule 101(b)(1): ☐
Indicate by check mark if the registrant is submitting the Form
6-K in paper as permitted by Regulation S-T Rule 101(b)(7): ☐
Other Information
On December 3, 2020, the registrant issued the news release
submitted herewith as exhibit 99.1.
EXHIBIT INDEX
Exhibit No.
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Description
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1
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Placement Agency Agreement, dated December 3, 2020, between the registrant, Maxim Group LLC, Roth Capital Partners, and Kingswood Capital Markets, division of Benchmark Investments, Inc.
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4.1
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Form of Warrant
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4.2
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Form of Securities Purchase Agreement
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99.1
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Press Release, dated December 3, 2020
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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.
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SPI Energy Co., Ltd.
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By
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/s/ Xiaofeng Peng
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Name
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:
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Xiaofeng Peng
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Title
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:
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Chief Executive Officer
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Date: December 4, 2020
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