|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT 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 |
|
| |||||||||||||||||||||||||||||
|
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 1474 (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 Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrant (right to buy) | $ 4.23 | 10/26/2012 | J(2) | 10,000,000 | 04/26/2013 | 04/26/2015 | Common Stock | 10,000,000 | $ 0 | 10,000,000 | D (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hanlong (USA) Mining Investment Inc. SUITE 2903, 9 CASTLEREAGH STREET SYDNEY, C3 2000 |
X | |||
Hanlong Resources Ltd SUITE 2903, 9 CASTLEREAGH STREET SYDNEY, C3 2000 |
X | |||
Sichuan Hanlong Group Co., Ltd 20F, HONGDA BUILDING NO. 2 EAST JIN LI ROAD CHENGDU, SICHUAN, F4 610041 |
X | |||
Liu XiaoPing 5-1 UNIT 2, ZHONGNANZHENG ST., NO. 6 WUHON DISTRICT CHENGDU, SICHUAN, F4 610000 |
X | |||
Liu Geng NO. 32 UNIT 3, BUILDING 2, SHUNSHA ST NO. 8, JINNIU DISTRICT CHENGDU, SICHUAN, F4 610000 |
X | |||
Yang Xue SUITES 2-2, NO. 3 DANYUAN, NO. 6 ZHONGNANZHENG ST., WUHON DISTRICT CHENGDU, SICHUAN, F4 610000 |
X | |||
Liu YiFan 20F, HONGDA BUILDING NO. 2 EAST JIN LI ROAD CHENGDU, SICHUAN, F4 610041 |
X |
Nelson Feng Chen, President | 10/30/2012 | |
**Signature of Reporting Person | Date | |
Nelson Feng Chen, Director | 10/30/2012 | |
**Signature of Reporting Person | Date | |
Nelson Feng Chen, Attorney-in-Fact | 10/30/2012 | |
**Signature of Reporting Person | Date | |
Nelson Feng Chen, Attorney-in-Fact | 10/30/2012 | |
**Signature of Reporting Person | Date | |
Nelson Feng Chen, Attorney-in-Fact | 10/30/2012 | |
**Signature of Reporting Person | Date | |
Nelson Feng Chen, Attorney-in-Fact | 10/30/2012 | |
**Signature of Reporting Person | Date | |
Nelson Feng Chen, Attorney-in-Fact | 10/30/2012 | |
**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) | The securities reported on this Form 4 are beneficially owned directly by Hanlong (USA) Mining Investment, Inc. and indirectly by each of Hanlong Resources Limited, Sichuan Hanlong Group Co., Ltd., Xiaoping Liu, Geng Liu, Xue Yang and Yifan Liu. |
(2) | Hanlong (USA) Mining Investment, Inc. ("Hanlong (USA)")and the Issuer entered into a Subordinated Loan Agreement dated October 26, 2012 pursuant to which Hanlong USA agreed to make certain financial facilities available to the Issuer. The warrant was issued to Hanlong USA in conjunction with this agreement. |