0001144204-11-035441.txt : 20110613 0001144204-11-035441.hdr.sgml : 20110613 20110613171744 ACCESSION NUMBER: 0001144204-11-035441 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20110613 DATE AS OF CHANGE: 20110613 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: METAL MINING [1000] 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: 11908849 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 v225746_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. 4)*

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)
 
June 13, 2011
(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
 
7
SOLE VOTING POWER
  
       
NUMBER OF
  
14,997,090
  
SHARES
8
SHARED VOTING POWER
  
BENEFICIALLY
      
OWNED BY
  
None
  
EACH
9
SOLE DISPOSITIVE POWER
  
REPORTING
      
PERSON
  
14,997,090
  
 
10
SHARED DISPOSITIVE POWER
  
       
   
None
  

11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
 
14,997,090
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
 
CERTAIN SHARES
¨
 
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
   
 
48.7%
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
 
7
SOLE VOTING POWER
  
       
NUMBER OF
  
1,844,120
  
SHARES
8
SHARED VOTING POWER
  
BENEFICIALLY
      
OWNED BY
  
None
  
EACH
9
SOLE DISPOSITIVE POWER
  
REPORTING
      
PERSON
  
1,844,120
  
 
10
SHARED DISPOSITIVE POWER
  
       
   
None
  

11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
 
1,844,120
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
 
CERTAIN SHARES
¨
 
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
   
 
6.0%
14
TYPE OF REPORTING PERSON
   
 
IN

 
 
 

EXPLANATORY NOTE: This Amendment No. 4 to Schedule 13D (this “Amendment No. 4”) amends and supplements the statement on Schedule 13D filed with the Securities and Exchange Commission (the “Commission”) on December 6, 2007 (the “Initial Schedule 13D”), as amended on February 17, 2009, August 18, 2009, and November 8, 2010 (such amendments together with the Initial Schedule 13D, the “Schedule 13D”) and is being filed on behalf of Xiaojing Yu and Xueming Xu (collectively the “Reporting Persons”) to report that the amounts of Common Stock owned by Xiaojing Yu and Xueming Xu have decreased, and that such decreases resulted from open market sales of 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. 4 also reflects the Reporting Persons’ purchase and sale from February 2, 2011 to May 5, 2011 of the Issuer’s Common Stock (see item 5 below).  Funds for the purchases listed below were provided by the Reporting Person making such scquisition.

ITEM 4. PURPOSE OF TRANSACTION

Item 4 is hereby amended to add the following disclosure:

Xiaoming Yu acquired the securities listed in item 5 between April 21, 2011 and May 4, 2011 in open market transactions for investment purposes with the aim of increasing investment value, without the intention of changing or influencing control of the Issuer or as a participant in any transaction having that purpose or effect.

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 Persons have 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 them in Item 5(a).
(c)
The following transactions in the Common Stock of the Issuer were affected during the past sixty days.

Xiaojing Yu
Date
  
Type
  
Amount of Shares
    
Price/Share
  
04/08/2011
  
open market sale
     100,000     $ 6.09  
04/20/2011
  
open market sale
     10     $ 4.89  
04/29/2011
  
open market sale
     65,000     $ 4.79  
04/29/2011
  
open market sale
     4,900     $ 4.77  

Xueming Xu
Date
  
Type
  
Amount of Shares
    
Price/Share
  
02/09/2011
  
open market sale
     30,000     $ 7.10  
02/09/2011
  
open market sale
     50,000     $ 7.40  
04/21/2011
  
open market purchase
     10,000     $ 4.74  
04/21/2011
  
open market purchase
     10,000     $ 4.52  
05/04/2011
  
open market purchase
     4,120     $ 4.35  
05/04/2011
  
open market purchase
     10,000     $ 4.41  
05/04/2011
  
open market purchase
     10,000     $ 4.40  
05/05/2011
  
open market purchase
     10,000     $ 4.38  

 
 
 

(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: June 13, 2011
 
 
/s/ Xiaojing Yu
  
 
Name: Xiaojing Yu
  
 
Title: CEO and Director
     
 
/s/ Xueming Xu
  
 
Name: Xueming Xu
  
 
Title: Director