-----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, WhA9SN6MDTheHr0mHIpMaQ+b1BgLCEhmNsMj3p3TtWZFGC6OlLIScZrLl/RO/Cyo vjWj9lzwRA1hwNKDWgCoKg== 0001144204-10-058064.txt : 20101108 0001144204-10-058064.hdr.sgml : 20101108 20101108062651 ACCESSION NUMBER: 0001144204-10-058064 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20101108 DATE AS OF CHANGE: 20101108 GROUP MEMBERS: XUEMING XU FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Yu Xiaojing CENTRAL INDEX KEY: 0001408381 FILING VALUES: FORM TYPE: SC 13D/A MAIL ADDRESS: STREET 1: SUITE 305, ZEYANG TOWER STREET 2: NO. 166 FUSHI ROAD, SHIJINGSHAN DISTRICT CITY: BEIJING STATE: F4 ZIP: 100043 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-83410 FILM NUMBER: 101170649 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 SC 13D/A 1 v201357_sc13da.htm Unassociated Document
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549
 
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 3)*
 

 
CHINA SHEN ZHOU MINING & RESOURCES, INC.
(formerly: EARTH PRODUCTS & TECHNOLOGIES INC)
(Name of Issuer)
 
 
Common Stock, $0.001 par value per share
(Title of Class of Securities)


  16942H 10 9
(CUSIP Number)

Xiaojing Yu
China Shen Zhou Mining & Resources, Inc.
No.166 Fushi Road, Zeyang Tower, Suite 305, Shijingshan District
Beijing, China 100043
+86 (10) 6886 7279
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

November 8, 2010
(Date of Event Which Requires Filing of this Statement)


If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box ¨.
 
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits.  See Rule 13d-7 for other parties to whom copies are to be sent.
 
*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
 
The Information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
 
 
CUSIP NO.:  16942H 10 9
 
1
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
     
 
Xiaojing Yu
  
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)           ¨
       
(b)           x
 
3
SEC USE ONLY
 
4
SOURCE OF FUNDS
 
OO
5
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
¨
 
6
CITIZENSHIP OR PLACE OF ORGANIZATION
  
     
 
People’s Republic of China
  
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
7
SOLE VOTING POWER
 
15,167,000
  
8
SHARED VOTING POWER
 
None
  
9
SOLE DISPOSITIVE POWER
 
15,167,000
  
10
SHARED DISPOSITIVE POWER
 
None
  
         
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
 
15,167,000
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
 o
  
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
       
 
54.2%
  
14
TYPE OF REPORTING PERSON
       
 
IN
  
 
 
CUSIP NO.: 16942H 10 9
 
1
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
     
 
Xueming Xu
  
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)           ¨
       
(b)           x
 
3
SEC USE ONLY
 
4
SOURCE OF FUNDS
 
 
OO
5
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
¨
 
6
CITIZENSHIP OR PLACE OF ORGANIZATION
  
       
 
People’s Republic of China
  
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
7
SOLE VOTING POWER
 
1,870,000
  
8
SHARED VOTING POWER
 
None
  
9
SOLE DISPOSITIVE POWER
 
1,870,000
  
10
SHARED DISPOSITIVE POWER
 
None
  
         
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
       
 
1,870,000
  
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
¨
 
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
       
 
6.7%
  
14
TYPE OF REPORTING PERSON
       
 
IN
    
 
 
EXPLANATORY NOTE: This Amendment No. 3 amends and supplements the statement on Schedule 13D filed with the Securities and Exchange Commission (the “Commission”) on December 9, 2008, as amended on February 17, 2009 (as amended, the Schedule 13D) and as amended on August 18, 2009 and is being filed on behalf of Xiaojing Yu and Xueming Xu (collectively the “Reporting Persons”) to report that the amount of Common Stock owned by Xiaojing Yu and Xueming Xu have decreased, and that such increase resulted solely from open market sale of the Common Stock.
 
ITEM 3.  SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION

Item 3 is hereby amended by adding the following as the last paragraphs thereof:

This Amendment No. 3 to Schedule 13D also reflects the Reporting Persons’ sale from October 21, 2001 to November 2, 2010 of the Issuer’s Common Stock (see item 5 below).  No funds were expended in connection with the foregoing transactions.

ITEM 5.  Interest in Securities of the Issuer.

(a)  
See Rows 11 and 13 of the Cover Pages.
(b)  
See Rows 7 through 10 of the Cover Pages.  The Reporting Person has the sole power to vote or direct the vote and the sole power to dispose or to direct the disposition of the shares reported by it in Item 5(a).
(c)  
The following transactions in the Common Stock of the Issuer were effected during the past sixty days
 
Xiaojing Yu
Date
Type
Amount of Shares
Price/Share
10/27/10
open market sale
10,000
$3.61
10/26/10
open market sale
20,000
$3.50
10/26/10
open market sale
20,000
$3.70
10/25/10
open market sale
10,000
$3.40
10/25/10
open market sale
10,000
$3.40
10/25/10
open market sale
30,000
$3.30
 
Xueming Xu
Date
Type
Amount of Shares
Price/Share
10/21/2010
open market sale
30,000
$4.11
10/21/2010
open market sale
5,000
$4.03
10/21/2010
open market sale
3,900
$4.05
10/21/2010
open market sale
1,000
$4.13
10/22/2010
open market sale
10,000
$3.16
10/22/2010
open market sale
10,000
$3.18
10/25/2010
open market sale
15,000
$3.24
10/25/2010
open market sale
5,000
$3.35
10/26/2010
open market sale
5,000
$3.70
10/26/2010
open market sale
5,000
$3.50
10/26/2010
open market sale
5,000
$3.30
11/1/2010
open market sale
10,000
$2.50
11/2/2010
open market sale
15,100
$2.40
 
(d)  
To the best knowledge of the Reporting Persons, no other person has the right to receive, or the power to direct the receipt of, dividends from, or the proceeds from the sale of, the Shares reported in Item 5(a).
(e)  
Not applicable.
 
 
 
 
 
SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
 
 
Reporting Person:
 
Date: November 8, 2010
 
 
 
 /s/ Xiaojing Yu    
    Name: Xiaojing Yu  
    Title: CEO and Director  
 
 
 
 
 /s/ Xueming Xu    
    Name: Xueming Xu  
    Title: Director  
 
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