敦信金融美股招股说明书(2023-07-27版)

424B51dxf_424b5.htm424B5 FiledpursuanttoRule424(b)(5)RegistrationNo.333-264179 PROSPECTUSSUPPLEMENT (ToProspectusdatedAugust8,2022) DunxinFinancialHoldingsLimited1,090,000AmericanDepositaryShares Representing523,200,000OrdinaryShares DunxinFinancialHoldingsLimited,aCaymanIslandsexemptedcompanywithlimitedliability(the“Company,”“we,”“us,”and“our”)isoffering1,090,000ofourAmericanDepositaryShares,orADSs,eachrepresentingfourhundredandeighty(480)ordinaryshares,parvalueUS$0.00005pershare,directlytocertaininstitutionalinvestorpursuanttothisprospectussupplement,theaccompanyingprospectus,andthatcertainSecuritiesPurchaseAgreement,datedJuly25,2023,byandamongtheCompanyandtheinstitutionalinvestorsignatorythereto.WeareofferingtheADSsinthisofferingatapriceperADSof $1.00. OurADSsarelistedontheNYSEAmericanunderthesymbol“DXF.”ThelastreportedsalepriceofourADSsontheNYSEAmericanonJuly25,2023was$1.85.Asofthedateofthisprospectussupplement,theaggregatemarketvalueofouroutstandingordinarysharesheldbynon-affiliatesisapproximately$3.27million,basedon1,384,429,144ordinarysharesissuedandoutstanding,ofwhichapproximately748,356,907ordinarysharesareheldbynon-affiliates,andpriceperADSof$2.1($0.004375perordinaryshare),whichwasthehighestclosingpriceoverthelastsixtydaysontheNYSEAmericanofourADSsendedonJune5,2023. Duringthe12calendarmonthspriortoandincludingthedateofthisprospectussupplement,wehavenotsoldanyOrdinarySharespursuanttoGeneralInstructionI.B.5ofFormF-3andaccordinglywemayselluptoapproximately$1.091millionofourADSshereunder. WehaveretainedSpartanCapitalSecuritiesLLC(the“PlacementAgent”or“Spartan”)asourPlacementAgenttouseits“reasonablebestefforts”tosolicitofferstopurchaseourADSsinthisoffering.ThePlacementAgenthasnoobligationtobuyanyofthesecuritiesfromusortoarrangeforthepurchaseorsaleofanyspecificnumberordollaramountofsecurities.WewillpaythePlacementAgentafeeequaltothesumof7%oftheaggregatepurchasepricepaidbyinvestorsplacedbythePlacementAgent. Investinginoursecuritiesinvolvesahighdegreeofrisk.Youshouldpurchaseoursecuritiesonlyifyoucanaffordacompletelossofyourinvestment.See“RiskFactors”beginningonpageS-13ofthisprospectussupplement. NeithertheSecuritiesandExchangeCommissionnoranystatesecuritiescommissionhasapprovedordisapprovedofthesesecuritiesorpassedupontheadequacyoraccuracyofthisprospectus.Anyrepresentationtothecontraryisacriminaloffense. Publicofferingprice$1.00$1,090,000 PerADSTotal Placementagent’sfees$0.07$76,300 Proceeds,beforeexpenses,tous(1)$0.93$1,013,700 Note: (1)ThetableabovedoesnotreflectthereimbursementofthePlacementAgent’sout-of-pocketaccountableexpense.Thetotalestimatedexpensesrelatedtothisofferingaresetforthinthesection titled“Expenses.” Inadditiontotheplacementagentfeeof7%oftheaggregatepurchaseprice,wehaveagreedtoreimburseSpartanforallofSpartan’sreasonableexpenses,including,withoutlimitation,feesanddisbursementsofSpartan’scounselandalltravelandotherout-of-pocket,expenses,incurredbySpartaninconnectionwiththeplacementupto$55,000. WeexpectthatthedeliveryoftheOrdinarySharesbeingofferedpursuanttothisprospectussupplementandtheaccompanyingprospectuswillbemadeonorbeforeJuly28,2023. Youshouldcarefullyreadthisprospectussupplementandtheaccompanyingprospectus(includingalloftheinformationincorporatedbyreferencetherein)beforeyouinvest.Investinginoursecuritiesinvolvesahighdegreeofrisk,includingthatthetradingpriceofshareshasbeensubjecttovolatilityandinvestorsinthisofferingmaynotbeabletoselltheirsharesabovetheactualofferingpriceoratall.See“RiskFactors”beginningonpageS-13ofthisprospectussupplementandonpage21oftheaccompanyingprospectusforadiscussionofcertainfactorsyoushouldconsiderbeforeinvestinginoursecurities. NeithertheSecuritiesandExchangeCommissionnoranystatesecuritiescommissionhasapprovedordisapprovedofthesesecuritiesordeterminedifthisprospectusiftruthfulorcomplete.Anyrepresentationtothecontraryisacriminaloffense. SpartanCapitalSecuritiesLLC ThedateofthisprospectussupplementisJuly25,2023 TABLEOFCONTENTS ProspectusSupplement Page ABOUTTHISPROSPECTUSSUPPLEMENTS-2 CAUTIONARYNOTEREGARDINGFORWARD-LOOKINGSTATEMENTSS-4 PROSPECTUSSUPPLEMENTSUMMARYS-5 THEOFFERINGS-12 RISKFACTORSS-13 USEOFPROCEEDSS-14 CAPITALIZATIONS-14 DILUTIONS-15 DESCRIPTIONOFSECURITIESS-15 PLANOFDISTRIBUTIONS-15 LEGALMATTERSS-17 EXPERTSS-17 WHEREYOUCANFINDADDITIONALINFORMATIONS-18 INFORMATIONINCORPORATEDBYREFERENCES-17 Prospectus Page AboutThisProspectus1 ProspectusSummary5 CautionaryNoteRegardingForward-LookingStatements3 UseofProceeds28 OfferStatisticsandExpectedTimetable28 DescriptionofShareCapital29 Capitalization29 DescriptionofPreferredShares47 DescriptionofAmericanDepositaryShares37 DescriptionofSubscriptionRights49 DescriptionofWarrants48 EnforceabilityofCivilLiabilities51 DescriptionofUnits50 PlanofDistribution52 Taxation52 LegalMatters55 Expenses55 IncorporationofCertainDocumentsbyReference55 Experts55 WhereYouCanFindAdditionalInformation57 Youshouldrelyonlyontheinformationcontainedinthisprospectussupplementandtheaccompanyingprospectus.Wehavenotauthorizedanyoneel