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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 2270 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Stock Options(Right to acquire Common Stock) | $ 2.75 | Â | Â | Â | Â | Â | 11/15/1998 | 11/15/2007 | Common Stock | Â | 300,000 | Â | ||
Stock Options(Right to acquire Common Stock) | $ 7.6 | Â | Â | Â | Â | Â | 10/04/1999 | 10/04/2009 | Common Stock | Â | 345,000 | Â | ||
Stock Options(Right to acquire Common Stock) | $ 4.03 | Â | Â | Â | Â | Â | 08/15/2003 | 08/15/2012 | Common Stock | Â | 200,000 | Â | ||
Pre-paid variable delivery forward contract | $ 0 (1) | Â | Â | Â | Â | Â | 05/22/2006 | 05/22/2006 | Common Stock | Â | 200,000 | Â | ||
Pre-paid variable delivery forward contract | $ 0 (2) | Â | Â | Â | Â | Â | 01/24/2007 | 01/24/2007 | Common Stock | Â | 250,000 | Â | ||
Restricted Stock Units (right to acquire common stock) | $ 0 | 12/26/2005 | Â | A4 | 5,000 | Â | 12/26/2006(3) | 12/26/2009 | Common Stock | $ 0 | 5,000 | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DING JAMES 4/F ZHONGDIAN INFORMATION TOWER 6 ZHONGGUANCUN S. ST., HAIDIAN DIST. BEIJING, F4 100086 |
 X |  |  |  |
James Ding | 02/10/2006 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | See Note 5 on Mr. Ding's Form 4 for May 22, 2003 filed with the SEC on May 27, 2003. |
(2) | Obligation to sell Common Stock. |
(3) | 5,000 restricted stock units were granted on December 26, 2005 and vest on an annual schedule of 25% each, beginning on the first anniversary of the grant date. Upon each vesting, one share of common stock shall be issuable for each restricted stock units on such vest date. |
(4) | On March 7, 2005, Mr. Ding delivered 125,000 shares to Morgan Stanley & Co. International Limited ("MSCIL") pursuant to a pre-paid variable delivery forward transaction involving delivery of up to 250,000 shares entered into by Mr. Ding and MSCIL on March 6, 2002 and the Closing of Pre-paid Variable Delivery Forward Transaction dated on August 5, 2003, which set the number of closed shares as 125,000. |
(5) | 240,000 Shares were Re-registered from James Ding to New Media China Investment I, Ltd. on August 23, 2005. |
(6) | 6,000 Shares were Re-registered from a trust to New Media China Investment I, Ltd. on August 23, 2005. |
(7) | See the Note 5 and Note 6. |