-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, SYZ+Vj1dLE86SwEuBKWSoFcNBVCyYK4f8T6JyCt3TxgxfnB0lCFBmSQKG632EYtg RT54zeuzvKbjAck6m2ZrlQ== 0000902664-09-003467.txt : 20090831 0000902664-09-003467.hdr.sgml : 20090831 20090831153520 ACCESSION NUMBER: 0000902664-09-003467 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090828 FILED AS OF DATE: 20090831 DATE AS OF CHANGE: 20090831 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CHINA SHEN ZHOU MINING & RESOURCES, INC. CENTRAL INDEX KEY: 0000790024 STANDARD INDUSTRIAL CLASSIFICATION: BLANK CHECKS [6770] IRS NUMBER: 870430816 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: NO. 166 FUSHI ROAD ZEYANG TOWER STREET 2: SHIJINGSHAN DISTRICT CITY: BEIJING STATE: F4 ZIP: 100043 BUSINESS PHONE: 86-010-68867292 MAIL ADDRESS: STREET 1: NO. 166 FUSHI ROAD ZEYANG TOWER STREET 2: SHIJINGSHAN DISTRICT CITY: BEIJING STATE: F4 ZIP: 100043 FORMER COMPANY: FORMER CONFORMED NAME: EARTH PRODUCTS & TECHNOLOGIES INC DATE OF NAME CHANGE: 20000515 FORMER COMPANY: FORMER CONFORMED NAME: ENVIRONMENTAL PLASMA ARC TECHNOLOGY INC DATE OF NAME CHANGE: 19950601 FORMER COMPANY: FORMER CONFORMED NAME: CONCEPT GOLD INC DATE OF NAME CHANGE: 19921224 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Best Tone Holdings Ltd CENTRAL INDEX KEY: 0001462141 STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33929 FILM NUMBER: 091045941 BUSINESS ADDRESS: STREET 1: P.O. BOX 957 STREET 2: OFFSHORE INCORPORATIONS CENTRE CITY: ROAD TOWN, TORTOLA STATE: D8 ZIP: 00000 BUSINESS PHONE: (852) 2295 0822 MAIL ADDRESS: STREET 1: P.O. BOX 957 STREET 2: OFFSHORE INCORPORATIONS CENTRE CITY: ROAD TOWN, TORTOLA STATE: D8 ZIP: 00000 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: China Mining Resources Group Ltd CENTRAL INDEX KEY: 0001462212 STATE OF INCORPORATION: D0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33929 FILM NUMBER: 091045940 BUSINESS ADDRESS: STREET 1: ROOM 1306, 13TH FLOOR STREET 2: BANK OF AMERICA TOWER, 12 HARCOURT ROAD CITY: ADMIRALTY STATE: K3 ZIP: 00000 BUSINESS PHONE: (852) 2295 0822 MAIL ADDRESS: STREET 1: ROOM 1306, 13TH FLOOR STREET 2: BANK OF AMERICA TOWER, 12 HARCOURT ROAD CITY: ADMIRALTY STATE: K3 ZIP: 00000 4 1 p09-1734form4_ex.xml X0303 4 2009-08-28 1 0000790024 CHINA SHEN ZHOU MINING & RESOURCES, INC. SHZ 0001462141 Best Tone Holdings Ltd P.O. BOX 957 OFFSHORE INCORPORATIONS CENTRE ROAD TOWN, TORTOLA D8 VIRGIN ISLANDS, BRITISH 0 0 0 1 See Remarks 0001462212 China Mining Resources Group Ltd ROOM 1306, 13TH FLOOR BANK OF AMERICA TOWER, 12 HARCOURT ROAD ADMIRALTY K3 00000 HONG KONG 0 0 0 1 See Remarks Common Stock, $0.001 par value per share 2009-08-28 4 S 0 12444444 D 0 D Common Stock, $0.001 par value per share 2009-08-28 4 S 0 16787000 D 0 D 6.75% Senior Convertible Notes 2.25 2009-08-28 4 S 0 0 D 2006-12-27 2012-12-27 Common Stock 0 D The reporting owners (together, the "Reporting Persons") beneficially owned $28,000,000 in principal face amount of the Issuer's 6.75% Senior Convertible Notes Due 2012 (the "Notes"). The Notes would be convertible into 12,444,444 Common Shares (the "Note Shares") but for the limitation set forth in this paragraph. Pursuant to the Indenture (defined below), in no event were the Reporting Persons entitled to convert any portion of the Notes for any number of Note Shares that, upon giving effect to such conversion, would cause the aggregate number of Common Shares owned by the Reporting Persons and their affiliates to exceed 9.99% of the outstanding Common Shares immediately after giving effect to such conversion. As a result, the number of shares reported as beneficially owned by the Reporting Persons was equal to 2,465,537, or 9.99% of the issued and outstanding shares of the Common Shares as of November 10, 2008. These securities were held by Best Tone Holdings Limited, which is a wholly owned subsidiary of China Mining Resources Group Limited. The Reporting Persons beneficially owned certain Notes of the Issuer issued under an Indenture between the Issuer and The Bank of New York, as indenture trustee, dated December 27, 2006 (as amended or supplemented, the "Indenture"). At the time that the Indenture was entered into and the Notes were issued, Ms. Yu Xiao Jing and Mr. Xu Xue Ming (collectively, the "Pledgors") entered into a pledge agreement with The Bank of New York, as collateral agent (the "Pledge Agreement") pursuant to which they pledged, respectively 14,917,000 and 1,870,000 shares of common stock, par value $0.001 per share of the Issuer (the "Pledged Shares"). As secured creditors with respect to the Pledged Shares, the Reporting Persons were deemed to beneficially own the Pledged Shares if the Issuer and/or the Pledgors were in default. The Reporting Person disclaims any past or present pecuniary interest in the Pledged Shares. Please see Explanation of Responses. The Reporting Persons expressly disclaim past or present beneficial ownership of the securities described herein except to the extent of such person's pecuniary interest therein. BEST TONE HOLDINGS LIMITED, /s/ Yeung Kwok Kuen, Director 2009-08-31 -----END PRIVACY-ENHANCED MESSAGE-----