UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Common Stock Warrants (Right to buy) | 11/04/2007 | 05/04/2013 | Common Stock | 941,171 (3) | $ (2) | D (1) | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Chief China Resources Ltd 18 CHAOYANGMENWAI STREET SUITE B710, FULL LINK PLAZA BEIJING, F4 100020 |
 |  X |  |  |
Wang Ken ROOM 12B2, HANWEI BUILDING GUANGHUA ROAD BEIJING, F4 100004 |
 |  X |  |  |
Ken Wang, General Partner of Chief China Resources Ltd. | 09/05/2007 | |
**Signature of Reporting Person | Date | |
Ken Wang | 09/05/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Ken Wang, as general partner of Chief China Resources Ltd., beneficially owns the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
(2) | The exercise price of the warrants is based on the exercise date. If the exercise date is less than three years after May 4, 2007, the exercise price is $3.80 per share (subject to adjustment in certain events). If the exercise date is at least three years, but less than four years and six months, after May 4, 2007, the exercise price is $4.35 per share (subject to adjustment in certain events). If the exercise date is at least four years and six months after May 4, 2007, the exercise price is $5.00 per share (subject to adjustment in certain events). |
(3) | These warrants to purchase common stock were omitted from the reporting persons' original Form 3. |