0000950103-16-010538.txt : 20160127
0000950103-16-010538.hdr.sgml : 20160127
20160127205809
ACCESSION NUMBER: 0000950103-16-010538
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120430
FILED AS OF DATE: 20160127
DATE AS OF CHANGE: 20160127
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: CASI Pharmaceuticals, Inc.
CENTRAL INDEX KEY: 0000895051
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 581959440
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 9620 MEDICAL CENTER DR
STREET 2: STE 300
CITY: ROCKVILLE
STATE: MD
ZIP: 20850
BUSINESS PHONE: 240-864-2600
MAIL ADDRESS:
STREET 1: 9620 MEDICAL CENTER DR
STREET 2: STE 300
CITY: ROCKVILLE
STATE: MD
ZIP: 20850
FORMER COMPANY:
FORMER CONFORMED NAME: ENTREMED INC
DATE OF NAME CHANGE: 19960415
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Zhou Quan
CENTRAL INDEX KEY: 0001491503
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-20713
FILM NUMBER: 161366409
MAIL ADDRESS:
STREET 1: C/O IDG VC MANAGEMENT LTD.
STREET 2: UNIT 1509, THE CENTER, 99 QUEEN'S RD
CITY: CENTRAL
STATE: K3
ZIP: -
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ho Chi Sing
CENTRAL INDEX KEY: 0001545806
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-20713
FILM NUMBER: 161366410
MAIL ADDRESS:
STREET 1: UNIT 1509, THE CENTER
STREET 2: 99 QUEEN'S ROAD, CENTRAL
CITY: HONG KONG
STATE: F4
ZIP: 00000
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: IDG-Accel China Growth Fund GP III Associates Ltd.
CENTRAL INDEX KEY: 0001564281
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-20713
FILM NUMBER: 161366411
BUSINESS ADDRESS:
STREET 1: 428 UNIVERSITY AVE
CITY: PALO ALTO
STATE: CA
ZIP: 94301
BUSINESS PHONE: 650-614-4800
MAIL ADDRESS:
STREET 1: 428 UNIVERSITY AVE
CITY: PALO ALTO
STATE: CA
ZIP: 94301
FORMER NAME:
FORMER CONFORMED NAME: IDG-Accel China Growth Fund III GP Associates Ltd.
DATE OF NAME CHANGE: 20121210
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: IDG-Accel China Growth Fund III Associates L.P.
CENTRAL INDEX KEY: 0001550192
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-20713
FILM NUMBER: 161366412
BUSINESS ADDRESS:
STREET 1: 428 UNIVERSITY AVE
CITY: PALO ALTO
STATE: X1
ZIP: 94301
BUSINESS PHONE: 650-614-4800
MAIL ADDRESS:
STREET 1: 428 UNIVERSITY AVE
CITY: PALO ALTO
STATE: X1
ZIP: 94301
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: IDG-Accel China Growth Fund III L.P.
CENTRAL INDEX KEY: 0001508829
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-20713
FILM NUMBER: 161366414
BUSINESS ADDRESS:
STREET 1: UNIT 5505, 55TH FLOOR
STREET 2: THE CENTER
CITY: 99 QUEEN'S ROAD
STATE: K3
ZIP: 00000
BUSINESS PHONE: 852-2529-1016
MAIL ADDRESS:
STREET 1: UNIT 5505, 55TH FLOOR
STREET 2: THE CENTER
CITY: 99 QUEEN'S ROAD
STATE: K3
ZIP: 00000
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: IDG-Accel China III Investors L.P.
CENTRAL INDEX KEY: 0001550193
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-20713
FILM NUMBER: 161366413
BUSINESS ADDRESS:
STREET 1: 428 UNIVERSITY AVE
CITY: PALO ALTO
STATE: X1
ZIP: 94301
BUSINESS PHONE: 650-614-4800
MAIL ADDRESS:
STREET 1: 428 UNIVERSITY AVE
CITY: PALO ALTO
STATE: X1
ZIP: 94301
3
1
dp62872_3.xml
FORM 3
X0206
3
2012-04-30
0
0000895051
CASI Pharmaceuticals, Inc.
CASI
0001508829
IDG-Accel China Growth Fund III L.P.
UNIT 5505, THE CENTRE,
99 QUEEN'S ROAD, CENTRAL
K3
0
0
1
0
0001550193
IDG-Accel China III Investors L.P.
UNIT 5505, THE CENTRE,
99 QUEEN'S ROAD, CENTRAL
K3
0
0
1
0
0001550192
IDG-Accel China Growth Fund III Associates L.P.
UNIT 5505, THE CENTRE,
99 QUEEN'S ROAD, CENTRAL
K3
0
0
1
0
0001564281
IDG-Accel China Growth Fund GP III Associates Ltd.
UNIT 5505, THE CENTRE,
99 QUEEN'S ROAD, CENTRAL
K3
CA
94301
0
0
1
0
0001545806
Ho Chi Sing
UNIT 5505, THE CENTRE,
99 QUEEN'S ROAD, CENTRAL
K3
0
0
1
0
0001491503
Zhou Quan
UNIT 5505, THE CENTRE,
99 QUEEN'S ROAD, CENTRAL
K3
0
0
1
0
Common Stock
4118730
D
Common Stock
291989
I
See Explanation of Responses
Warrant
1.40
2012-07-29
2017-07-29
Common Stock
812000
D
Warrant
1.40
2012-07-29
2017-07-29
Common Stock
57565
I
See Explanation of Responses
These securities are directly owned by IDG-Accel China Growth Fund III L.P. ("IDG-Accel Growth") and may be deemed to be indirectly beneficially owned by the other reporting persons. IDG-Accel China Growth Fund III Associates L.P. ("IDG-Accel Associates") is the general partner of IDG-Accel Growth. IDG-Accel China Growth Fund GP III Associates Ltd. ("IDG-Accel GP") is the general partner of both IDG-Accel Associates and IDG-Accel China III Investors L.P. ("IDG-Accel Investors"). Chi Sing Ho and Quan Zhou are shareholders and directors of IDG-Accel GP.
Pursuant to a convertible note and warrant purchase agreement dated as of January 20, 2012 by and among the Issuer and certain investors (the "Purchase Agreement"), IDG-Accel Growth purchased a subordinated mandatorily convertible note and a warrant of the Issuer, with the conversion of the note and the exercise of the warrant subject to the approval of the shareholders of the Issuer (the "Shareholder Approval"). On April 30, 2012, the Shareholder Approval was obtained. On May 1, 2012, the note was converted into 4,118,730 shares of common stock and the warrant for 812,000 shares of common stock became exercisable as of July 29, 2012.
These securities are directly owned by IDG-Accel Investors and may be deemed to be indirectly beneficially owned by the other reporting persons. Pursuant to the Purchase Agreement, IDG-Accel Investors purchased a subordinated mandatorily convertible note and a warrant, with the conversion of the note and the exercise of the warrant subject to the Shareholder Approval. On April 30, 2012, the Shareholder Approval was obtained. On May 1, 2012, the note was converted into 291,989 shares of common stock and the warrant for 57,565 shares of common stock became exercisable as of July 29, 2012.
The filing of this statement by the reporting persons shall not be deemed an admission that such persons are, for purposes of Section 16 of the Securities and Exchange Act of 1934 or otherwise, the beneficial owner of any equity securities covered by this statement.
/s/ Chi Sing Ho, Director of IDG-Accel China Growth Fund GP III Associates Ltd., the ultimate general partner of IDG-Accel China Growth Fund III L.P., on behalf of IDG-Accel China Growth Fund III L.P.
2016-01-27
/s/ Chi Sing Ho, Director of IDG-Accel China Growth Fund GP III Associates Ltd., the general partner of IDG-Accel China III Investors L.P., on behalf of IDG-Accel China III Investors L.P.
2016-01-27
/s/ Chi Sing Ho, Director of IDG-Accel China Growth Fund GP III Associates Ltd., the general partner of IDG-Accel China Growth Fund III Associates L.P., on behalf of IDG-Accel China Growth Fund III Associates L.P.
2016-01-27
/s/ Chi Sing Ho, Director, on behalf of IDG-Accel China Growth Fund GP III Associates Ltd.
2016-01-27
/s/ Quan Zhou
2016-01-27
/s/ Chi Sing Ho
2016-01-27