Fanhua Inc. (formerly CNinsure Inc.)
|
||
(Name of Issuer)
|
||
Ordinary Shares, $0.001 par value
|
||
(Title of Class of Securities)
|
||
G2352K 108**
|
||
(CUSIP Number)
|
||
Cathay Capital Holdings II, L.P.
c/o New China Capital Management, LP
Attn: Ling Liu
One Dock Street
Stamford, CT 06902
(203) 328-1800
With a copy to:
George Y. Liu, Esq.
Boies, Schiller & Flexner LLP
575 Lexington Avenue, 7th Floor
New York, NY 10022
(212) 446-2300
|
||
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
|
||
November 20, 2015
|
||
(Date of Event which Requires Filing of this Statement)
|
CUSIP No. G2352K 108
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
|
|
|||
Cathay Capital Holdings II, L.P.
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☒
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
WC, BK
|
|
|
|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Cayman Islands
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
0
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
5,583,200
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
5,583,200
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
5,583,2001
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
0.5%2
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
PN
|
|
|
|||
|
|
CUSIP No. G2352K 108
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
|
|
|||
Cathay Master GP, Ltd.
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☒
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
OO
|
|
|
|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Cayman Islands
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
0
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
5,583,200
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
5,583,200
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
5,583,2003
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
0.5%4
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
CO
|
|
|
|||
|
|
CUSIP No. G2352K 108
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
|
|
|||
New China Capital Management, LP
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☒
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
OO
|
|
|
|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Delaware
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
0
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
5,583,200
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
5,583,200
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
5,583,2005
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
0.5%6
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
IA, PN
|
|
|
|||
|
|
CUSIP No. G2352K 108
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
|
|
|||
NCCM, LLC
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☒
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
OO
|
|
|
|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Delaware
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
0
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
5,583,200
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
5,583,200
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
5,583,2007
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
0.5%8
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
OO
|
|
|
|||
|
|
CUSIP No. G2352K 108
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
|
|
|||
TAM China, LLC
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☒
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
OO
|
|
|
|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Delaware
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
0
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
5,583,200
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
5,583,200
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
5,583,2009
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
0.5%10
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
OO
|
|
|
|||
|
|
CUSIP No. G2352K 108
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
|
|
|||
The Cathay Investment Fund, Limited
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☒
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
WC
|
|
|
|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Cayman Islands
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
0
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
104,400
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
104,400
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
104,40011
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
0.0%12
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
OO
|
|
|
|||
|
|
CUSIP No. G2352K 108
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
|
|
|||
New China Investment Management, Inc.
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☒
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
OO
|
|
|
|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Delaware
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
0
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
104,400
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
104,400
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
104,40013
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
0.0%14
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
IA, CO
|
|
|
|||
|
|
CUSIP No. G2352K 108
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
/I.R.S IDENTIFICATION NO. OF PERSON
|
|
|
|||
Paloma Partners, LLC / 06-1111569
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☒
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
WC
|
|
|
|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Delaware
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
0
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
0
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
0%
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
OO
|
|
|
|||
|
|
CUSIP No. G2352K 108
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
/I.R.S IDENTIFICATION NO. OF PERSON
|
|
|
|||
Paloma International Limited / Not Applicable
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☒
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
WC
|
|
|
|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Bermuda
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
0
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
0
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
0%
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
OO
|
|
|
|||
|
|
CUSIP No. G2352K 108
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
/I.R.S IDENTIFICATION NO. OF PERSON
|
|
|
|||
Paloma Partners Management Company / 13-3145891
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☒
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
OO
|
|
|
|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Delaware
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
0
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
0
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
0%
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
CO
|
|
|
|||
|
|
CUSIP No. G2352K 108
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
/I.R.S IDENTIFICATION NO. OF PERSON
|
|
|
|||
Paloma Partners Advisors, L.P.15
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☒
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
OO
|
|
|
|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Cayman Islands
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
0
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
0
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
0%
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
PN
|
|
|
|||
|
|
CUSIP No. G2352K 108
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
|
|
|||
S. Donald Sussman
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☒
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
PF, OO
|
|
|
|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
United States
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
26,075,340
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
5,687,600
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
26,075,340
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
5,687,600
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
31,762,94016
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
2.7%17
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
IN
|
|
|
|||
|
|
CUSIP No. G2352K 108
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
|
|
|||
Paul S. Wolansky
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☒
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
PF, OO
|
|
|
|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
United States
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
14,716,740
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
5,687,600
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
14,716,740
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
5,687,600
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
20,404,34018
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
1.8%19
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
IN
|
|
|
|||
|
|
CUSIP No. G2352K 108
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
|
|
|||
Hermann Leung
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☒
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
PF, OO
|
|
|
|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Australia
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
8,846,520
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
8,846,520
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
8,846,52020
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
0.8%21
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
IN
|
|
|
|||
|
|
Item 3. |
Source and Amount of Funds or Other Consideration
|
§
|
14,716,740 shares of Common Stock (735,837 ADSs) directly held by Mr. Wolansky, acquired by Mr. Wolansky's direct purchase of the Common Stock in the open market, distributions in-kind of Common Stock by CIF to Mr. Wolansky (as described in Item 4 of the Terminating 13G Filing), and Mr. Wolansky's direct purchase of the Common Stock from New China Management Corp. ("NCMC") (as described in Item 4 of the Terminating 13G Filing), an entity which is the former investment manager for CIF and is 100% owned by Mr. Sussman.
|
§
|
5,583,200 shares of Common Stock (279,160 ADSs) directly held by Cathay Capital (Mr. Sussman and Mr. Wolansky are the owners and sole officers and directors of Cathay GP, the general partner of Cathay Capital, and the owners of New China, the investment manager for Cathay Capital, and therefore Mr. Wolansky may be deemed to have the shared power to vote or direct the vote of (and the shared power to dispose or direct the disposition of) the Common Stock directly held by Cathay Capital).
|
§
|
104,400 shares of Common Stock (5,220 ADSs) directly held by CIF (Mr. Sussman and Mr. Wolansky each, directly and/or indirectly, own 50% of NCIM, the investment manager for CIF, and therefore Mr. Wolansky may be deemed to have the shared power to vote or direct the vote of (and the shared power to dispose or direct the disposition of) the Common Stock directly held by CIF).
|
§
|
3,322,760 shares of Common Stock (166,138 ADSs) directly held by Mr. Sussman, acquired by Mr. Sussman's direct purchase of the Common Stock in the open market, distributions in-kind of Common Stock by CIF to Mr. Sussman (as described in Item 4 of the Terminating 13G Filing), transfers of Common Stock from the GRAT (as defined below) to Mr. Sussman and a distribution to Mr. Sussman by NCMC (as described in Item 4 of the Terminating 13G Filing), an entity which is the former investment manager for CIF and is 100% owned by Mr. Sussman.
|
§
|
18,460,160 shares of Common Stock (923,008 ADSs) held by a grantor retained annuity trust (the "GRAT"), of which Mr. Sussman is a co-trustee, acquired through transfers of Common Stock from Mr. Sussman to the GRAT (as co-trustee, pursuant to Section 13(d) of the Act and the rules thereunder, Mr. Sussman may be deemed to beneficially own all of the shares of Common Stock held by the GRAT);
|
§
|
4,292,420 shares of Common Stock (214,621 ADSs) held by Caremi Partners Ltd. ("Caremi"), of which Mr. Sussman is the sole shareholder (acquired by distributions in-kind of Common Stock by CIF to Caremi, as described in Item 4 of the Terminating 13G Filing). Pursuant to Section 13(d) of the Act and the rules thereunder, because of his status as sole shareholder, Mr. Sussman may be deemed to beneficially own all of the Common Stock of the Issuer held by Caremi).
|
§
|
5,583,200 shares of Common Stock (279,160 ADSs) directly held by Cathay Capital (Mr. Sussman and Mr. Wolansky are the owners and sole officers and directors of Cathay GP, the general partner of Cathay Capital, and the owners of New China, the investment manager for Cathay Capital, and therefore Mr. Sussman may be deemed to have the shared power to vote or direct the vote of (and the shared power to dispose or direct the disposition of) the Common Stock directly held by Cathay Capital).
|
§
|
104,400 shares of Common Stock (5,220 ADSs) directly held by CIF (Mr. Sussman and Mr. Wolansky each, directly and/or indirectly, own 50% of NCIM, the investment manager for CIF, and therefore Mr. Sussman may be deemed to have the shared power to vote or direct the vote of (and the shared power to dispose or direct the disposition of) the Common Stock directly held by CIF).
|
Item 5. |
Interest in Securities of the Issuer
|
Reporting Person
|
Amount
beneficially
owned:
|
Percent
of class:
|
Sole power
to vote or
direct the
vote:
|
Shared
power to
vote or to
direct
the vote:
|
Sole power to
dispose or to
direct the
disposition
of:
|
Shared
power to
dispose or to
direct the
disposition
of:
|
Cathay Capital Holdings II, L.P. (1)
|
5,583,200
|
0.5%
|
0
|
5,583,200
|
0
|
5,583,200
|
Cathay Master GP, Ltd. (2)
|
5,583,200
|
0.5%
|
0
|
5,583,200
|
0
|
5,583,200
|
New China Capital Management, LP (3)
|
5,583,200
|
0.5%
|
0
|
5,583,200
|
0
|
5,583,200
|
NCCM, LLC (4)
|
5,583,200
|
0.5%
|
0
|
5,583,200
|
0
|
5,583,200
|
TAM China, LLC (5)
|
5,583,200
|
0.5%
|
0
|
5,583,200
|
0
|
5,583,200
|
The Cathay Investment Fund, Limited (6)
|
104,400
|
0.0%
|
0
|
104,400
|
0
|
104,400
|
New China Investment Management, Inc. (7)
|
104,400
|
0.0%
|
0
|
104,400
|
0
|
104,400
|
Paloma Partners LLC (8)
|
0
|
0.0%
|
0
|
0
|
0
|
0
|
Paloma International Limited (9)
Paloma Partners Management Company (10)
|
0
0
|
0.0%
0.0%
|
0
0
|
0
0
|
0
0
|
0
0
|
Paloma Partners Advisors, L.P. (11)
|
0
|
0.0%
|
0
|
0
|
0
|
0
|
S. Donald Sussman (12)
|
31,762,940
|
2.7%
|
26,075,340
|
5,687,600
|
26,075,340
|
5,687,600
|
Paul S. Wolansky (13)
|
20,404,340
|
1.8%
|
14,716,740
|
5,687,600
|
14,716,740
|
5,687,600
|
Hermann Leung (14)
|
8,846,520
|
0.8%
|
8,846,520
|
0
|
8,846,520
|
0
|
Name of Reporting Person
|
Date
|
Number of Shares Purchased (Sold)
|
Average Price per ADS
|
Cathay Capital Holdings II, L.P.
|
11/20/2015
|
(2,706,800)
|
10.27760224
|
Cathay Capital Holdings II, L.P.
|
11/23/2015
|
(95,460)
|
10.20192125
|
Cathay Capital Holdings II, L.P.
|
08/09/2016
|
(1,153,640)
|
8.56770326
|
Cathay Capital Holdings II, L.P.
|
08/10/2016
|
(4,000)
|
8.505000
|
Cathay Capital Holdings II, L.P.
|
08/11/2016
|
(1,122,360)
|
8.54646027
|
Cathay Capital Holdings II, L.P.
|
08/12/2016
|
(246,200)
|
8.60368828
|
Cathay Capital Holdings II, L.P.
|
08/15/2016
|
(210,920)
|
8.58477429
|
Cathay Capital Holdings II, L.P.
|
08/16/2016
|
(267,560)
|
8.52339530
|
Cathay Capital Holdings II, L.P.
|
08/17/2016
|
(59,320)
|
8.50329031
|
Cathay Capital Holdings II, L.P.
|
09/02/2016
|
(948,000)
|
8.50052732
|
Cathay Capital Holdings II, L.P.
|
11/09/2016
|
(108,140)
|
8.50250633
|
Cathay Capital Holdings II, L.P.
|
11/10/2016
|
(148,340)
|
8.62282734
|
Cathay Capital Holdings II, L.P.
|
11/11/2016
|
(197,340)
|
8.80308035
|
Cathay Capital Holdings II, L.P.
|
11/14/2016
|
(322,000)
|
8.60892936
|
Cathay Capital Holdings II, L.P.
|
11/21/2016
|
(268,000)
|
8.61190337
|
Cathay Capital Holdings II, L.P.
|
11/22/2016
|
(148,420)
|
8.69926438
|
Cathay Capital Holdings II, L.P.
|
11/23/2016
|
(227,040)
|
8.73538239
|
Cathay Capital Holdings II, L.P.
|
11/28/2016
|
(1,148,980)
|
9.05089540
|
Cathay Capital Holdings II, L.P.
|
11/29/2016
|
(1,053,880)
|
9.32821441
|
Cathay Capital Holdings II, L.P.
|
11/30/2016
|
(664,220)
|
9.45354042
|
Cathay Capital Holdings II, L.P.
|
12/01/2016
|
(1,269,960)
|
9.17700343
|
Cathay Capital Holdings II, L.P.
|
12/02/2016
|
(566,680)
|
8.98400844
|
Cathay Capital Holdings II, L.P.
|
12/05/2016
|
(691,120)
|
8.94521245
|
Cathay Capital Holdings II, L.P.
|
12/08/2016
|
(238,700)
|
9.90066546
|
Cathay Capital Holdings II, L.P.
|
12/09/2016
|
(397,380)
|
9.26113347
|
Cathay Capital Holdings II, L.P.
|
12/12/2016
|
(325,780)
|
8.96138748
|
Cathay Capital Holdings II, L.P.
|
12/13/2016
|
(196,940)
|
9.03024649
|
Cathay Capital Holdings II, L.P.
|
12/14/2016
|
(163,860)
|
8.75830650
|
Cathay Capital Holdings II, L.P.
|
12/20/2016
|
(434,920)
|
8.65452751
|
Cathay Capital Holdings II, L.P.
|
12/22/2016
|
(164,000)
|
8.72054952
|
Cathay Capital Holdings II, L.P.
|
01/03/2017
|
(72,000)
|
8.68598353
|
Cathay Capital Holdings II, L.P.
|
01/04/2017
|
(225,240)
|
8.83917054
|
Cathay Capital Holdings II, L.P.
|
01/06/2017
|
(278,480)
|
8.77899455
|
Cathay Capital Holdings II, L.P.
|
01/09/2017
|
(310,220)
|
8.76163156
|
Cathay Capital Holdings II, L.P.
|
01/17/2017
|
(225,360)
|
8.74686057
|
Cathay Capital Holdings II, L.P.
|
01/18/2017
|
(94,000)
|
8.775000
|
Cathay Capital Holdings II, L.P.
|
01/19/2017
|
(300,000)
|
8.94073058
|
Cathay Capital Holdings II, L.P.
|
01/20/2017
|
(246,000)
|
8.86144559
|
Cathay Capital Holdings II, L.P.
|
01/23/2017
|
(168,000)
|
8.54238160
|
Cathay Capital Holdings II, L.P.
|
02/03/2017
|
(74,000)
|
8.67259161
|
Cathay Capital Holdings II, L.P.
|
02/07/2017
|
(234,420)
|
8.63501862
|
Cathay Capital Holdings II, L.P.
|
02/08/2017
|
(648,600)
|
8.68502663
|
Cathay Capital Holdings II, L.P.
|
02/09/2017
|
(321,360)
|
8.81467164
|
Cathay Capital Holdings II, L.P.
|
02/10/2017
|
(232,000)
|
8.88478465
|
Cathay Capital Holdings II, L.P.
|
02/13/2017
|
(234,000)
|
8.93700966
|
Cathay Capital Holdings II, L.P.
|
02/14/2017
|
(94,000)
|
8.87617067
|
Cathay Capital Holdings II, L.P.
|
02/15/2017
|
(244,000)
|
8.98981668
|
Cathay Capital Holdings II, L.P.
|
02/16/2017
|
(133,740)
|
9.00764369
|
Cathay Capital Holdings II, L.P.
|
02/17/2017
|
(75,200)
|
9.090000
|
Cathay Capital Holdings II, L.P.
|
02/21/2017
|
(80,000)
|
9.10965070
|
Cathay Capital Holdings II, L.P.
|
02/22/2017
|
(272,000)
|
9.28736371
|
Cathay Capital Holdings II, L.P.
|
02/23/2017
|
(180,000)
|
9.46277772
|
Cathay Capital Holdings II, L.P.
|
02/24/2017
|
(140,000)
|
9.47192873
|
Cathay Capital Holdings II, L.P.
|
02/27/2017
|
(100,000)
|
9.37036574
|
Cathay Capital Holdings II, L.P.
|
02/28/2017
|
(100,000)
|
9.13720075
|
Cathay Capital Holdings II, L.P.
|
03/01/2017
|
(100,000)
|
8.96820476
|
Cathay Capital Holdings II, L.P.
|
03/08/2017
|
(729,160)
|
8.60281077
|
Cathay Capital Holdings II, L.P.
|
03/09/2017
|
(791,780)
|
9.03215378
|
Cathay Capital Holdings II, L.P.
|
03/10/2017
|
(617,100)
|
8.92214479
|
Cathay Capital Holdings II, L.P.
|
03/13/2017
|
(249,980)
|
9.20773980
|
Cathay Capital Holdings II, L.P.
|
03/14/2017
|
(206,020)
|
9.15737181
|
Cathay Capital Holdings II, L.P.
|
03/15/2017
|
(90,220)
|
9.16897882
|
Cathay Capital Holdings II, L.P.
|
03/16/2017
|
(328,760)
|
8.99316883
|
Cathay Capital Holdings II, L.P.
|
03/17/2017
|
(458,180)
|
8.87211584
|
Cathay Capital Holdings II, L.P.
|
03/20/2017
|
(427,300)
|
8.80954685
|
Cathay Capital Holdings II, L.P.
|
03/21/2017
|
(272,520)
|
8.75368086
|
Cathay Capital Holdings II, L.P.
|
03/22/2017
|
(340,000)
|
8.74473887
|
Cathay Capital Holdings II, L.P.
|
03/23/2017
|
(185,240)
|
8.85349888
|
Cathay Capital Holdings II, L.P.
|
03/24/2017
|
(320,600)
|
8.93127889
|
Cathay Capital Holdings II, L.P.
|
03/27/2017
|
(91,220)
|
8.83791490
|
Cathay Capital Holdings II, L.P.
|
03/28/2017
|
(626,000)
|
8.97164791
|
Cathay Capital Holdings II, L.P.
|
03/29/2017
|
(138,500)
|
8.84246292
|
Cathay Capital Holdings II, L.P.
|
03/30/2017
|
(122,260)
|
8.58876893
|
Cathay Capital Holdings II, L.P.
|
03/31/2017
|
(193,960)
|
8.60109594
|
Cathay Capital Holdings II, L.P.
|
04/05/2017
|
(100,000)
|
8.58188095
|
Cathay Capital Holdings II, L.P.
|
04/06/2017
|
(331,140)
|
8.93694896
|
Cathay Capital Holdings II, L.P.
|
04/07/2017
|
(151,280)
|
8.89793797
|
Cathay Capital Holdings II, L.P.
|
04/10/2017
|
(144,000)
|
8.80416698
|
Cathay Capital Holdings II, L.P.
|
04/12/2017
|
(502,000)
|
8.77776999
|
Cathay Capital Holdings II, L.P.
|
04/13/2017
|
(70,000)
|
8.906000
|
Cathay Capital Holdings II, L.P.
|
04/17/2017
|
(84,000)
|
8.864523100
|
Cathay Capital Holdings II, L.P.
|
04/18/2017
|
(74,140)
|
8.743412101
|
Cathay Capital Holdings II, L.P.
|
04/19/2017
|
(74,380)
|
8.659394102
|
Cathay Capital Holdings II, L.P.
|
04/20/2017
|
(74,320)
|
8.676913103
|
Cathay Capital Holdings II, L.P.
|
04/21/2017
|
(75,520)
|
8.625609104
|
Cathay Capital Holdings II, L.P.
|
04/24/2017
|
(76,000)
|
8.635000
|
Cathay Capital Holdings II, L.P.
|
06/01/2017
|
(175,340)
|
9.144469105
|
Cathay Capital Holdings II, L.P.
|
06/05/2017
|
(134,000)
|
9.116716106
|
Cathay Capital Holdings II, L.P.
|
06/08/2017
|
(110,000)
|
8.867090107
|
Cathay Capital Holdings II, L.P.
|
06/09/2017
|
(152,000)
|
8.897500108
|
Cathay Capital Holdings II, L.P.
|
06/12/2017
|
(183,840)
|
8.983937109
|
Cathay Capital Holdings II, L.P.
|
06/19/2017
|
(177,480)
|
8.917272110
|
Item 7. |
Material to be Filed as Exhibits
|
Exhibit 1 |
Joint Filing Agreement, dated December 29, 2011, by and among the Reporting Persons.
|
|
CATHAY CAPITAL HOLDINGS II, L.P.
|
||||
|
|
|
|||
|
By:
|
Cathay Master GP, Ltd., its general partner
|
|||
|
|
|
|
||
|
|
By:
|
/s/ Paul S. Wolansky
|
||
|
|
|
Name: Paul S. Wolansky
|
||
|
|
|
Title: Director
|
||
|
|
|
|||
|
CATHAY MASTER GP, LTD.
|
||||
|
|
|
|||
|
By:
|
/s/ Paul S. Wolansky
|
|||
|
|
Name: Paul S. Wolansky
|
|||
|
|
Title: Director
|
|||
|
|
|
|||
|
NEW CHINA CAPITAL MANAGEMENT, LP
|
||||
|
|
|
|||
|
By:
|
NCCM, LLC, its general partner
|
|||
|
|
|
|||
|
|
By:
|
/s/ Paul S. Wolansky
|
||
|
|
|
Name: Paul S. Wolansky
|
||
|
|
|
Title: Member
|
||
|
|
|
|||
|
NCCM, LLC
|
||||
|
|
|
|
||
|
By:
|
/s/ Paul S. Wolansky
|
|||
|
|
|
Name: Paul S. Wolansky
|
||
|
|
|
Title: Member
|
||
|
|
||||
|
THE CATHAY INVESTMENT FUND, LIMITED
|
||||
|
|
|
|
||
|
By:
|
/s/ Paul S. Wolansky
|
|||
|
|
Name: Paul S. Wolansky
|
|||
|
|
Title: Director
|
|||
|
NEW CHINA INVESTMENT MANAGEMENT, INC.
|
||||
|
|
|
|
||
|
By:
|
/s/ Paul S. Wolansky
|
|||
|
|
Name: Paul S. Wolansky
|
|||
|
|
Title: Chairman
|
|||
|
|
|
|||
|
PAUL S. WOLANSKY
|
||||
|
|
||||
|
/s/ Paul S. Wolansky
|
||||
|
|
|
HERMANN LEUNG
|
|||
|
|
|||
|
/s/ Hermann Leung
|
|||
|
TAM China, LLC
|
|||
|
|
|
||
|
By:
|
/s/ S. Donald Sussman
|
||
|
|
Name: S. Donald Sussman
|
||
|
|
Title: Member
|
||
PALOMA PARTNERS LLC
|
||||
|
|
|
|
|
|
By:
|
/s/Douglas W. Ambrose
|
||
|
|
|
Name: Douglas W. Ambrose
|
|
|
|
|
Title: Executive Vice President of Paloma Partners Management Company, Special Member Paloma Partners L.L.C.
|
|
|
|
|||
|
PALOMA INTERNATIONAL LIMITED
|
|||
|
|
|
|
|
|
By:
|
/s/John J. Smith
|
||
|
|
Name: John J. Smith
|
||
|
|
Title: Director
|
||
|
PALOMA PARTNERS MANAGEMENT COMPANY
|
|||
|
|
|
|
|
|
By:
|
/s/Douglas W. Ambrose
|
||
|
|
Name: Douglas W. Ambrose
|
||
|
|
Title: Executive Vice President
|
||
|
PALOMA PARTNERS ADVISORS, L.P.
By: Paloma Partners Advisors, Inc., general partner
|
|||
|
|
|
|
|
|
By:
|
/s/S. Donald Sussman
|
||
|
|
Name: S. Donald Sussman
|
||
|
|
Title: President
|
||
|
|
|||
|
S. DONALD SUSSMAN
|
|||
|
|
|||
|
/s/ S. Donald Sussman
|
|||
|
|