Amended Statement of Ownership (sc 13g/a)

Date : 01/10/2019 @ 6:24PM
Source : Edgar (US Regulatory)
Stock : Recon Technology, Ltd. - Ordinary Shares (RCON)
Quote : 0.745919  0.010919 (1.49%) @ 1:00AM

Amended Statement of Ownership (sc 13g/a)

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
 
SCHEDULE 13G
 
 
Under the Securities Exchange Act of 1934
 
(Amendment No.   )*
 

Recon Technology, Ltd.

(Name of Issuer)
 

Ordinary Shares, $0.0185 par value

(Title of Class of Securities)
 

G7415M108

(CUSIP Number)
 

December 31, 2018

(Date of event which requires filing of this statement)
 
 
Check the appropriate box to designate the rule pursuant to which this Schedule 13G is filed:
 
¨ Rule 13d-1(b)
x Rule 13d-1(c)
¨ Rule 13d-1(d)
 
(Page 1 of 6 Pages)

 

______________________________

*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 the disclosures provided in a prior cover page.

The information required in 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.  G7415M108  13G Page 2 of 6 Pages

 

1

NAMES OF REPORTING PERSONS

Empery Asset Management, LP

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨

(b)  ¨

3 SEC USE ONLY
4

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
5

SOLE VOTING POWER

 

6

SHARED VOTING POWER

0 Ordinary Shares

 

7

SOLE DISPOSITIVE POWER

 

8

SHARED DISPOSITIVE POWER

0 Ordinary Shares

 

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

0 Ordinary Shares

 

10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

0% (See Item 4)

12

TYPE OF REPORTING PERSON

PN

         

 

 

 CUSIP No.  G7415M108  13G Page 3 of 6 Pages

 

1

NAMES OF REPORTING PERSONS

Ryan M. Lane

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨

(b)  ¨

3 SEC USE ONLY
4

CITIZENSHIP OR PLACE OF ORGANIZATION

United States

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
5

SOLE VOTING POWER

 

6

SHARED VOTING POWER

0 Ordinary Shares

 

7

SOLE DISPOSITIVE POWER

 

8

SHARED DISPOSITIVE POWER

0 Ordinary Shares

 

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

0 Ordinary Shares

 

10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

0% (See Item 4)

12

TYPE OF REPORTING PERSON

IN

         

 

 CUSIP No.  G7415M108  13G Page 4 of 6 Pages

 

1

NAMES OF REPORTING PERSONS

Martin D. Hoe

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨

(b)  ¨

3 SEC USE ONLY
4

CITIZENSHIP OR PLACE OF ORGANIZATION

United States

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
5

SOLE VOTING POWER

 

6

SHARED VOTING POWER

0 Ordinary Shares

 

7

SOLE DISPOSITIVE POWER

 

8

SHARED DISPOSITIVE POWER

0 Ordinary Shares

 

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

0 Ordinary Shares

 

10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

0% (See Item 4)

12

TYPE OF REPORTING PERSON

IN

         

 

 

 CUSIP No.  G7415M108  13G Page 5 of 6 Pages

 

This Amendment No. 1 (this " Amendment ") amends the statement on Schedule 13G filed on January 26, 2018 (the " Original Schedule 13G ", as amended, the " Schedule 13G "), with respect to Ordinary Shares, $0.0185 par value (the " Ordinary Shares ") of Recon Technology, Ltd. (the " Company "). Capitalized terms used herein and not otherwise defined in this Amendment have the meanings set forth in the Schedule 13G. This Amendment amends and restates Items 4 and 5 in their entirety as set forth below.

 

Item 4. OWNERSHIP .

 

   

The information as of the date of the event which requires filing of this statement required by Items 4(a) – (c) is set forth in Rows 5 – 11 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person. The percentage set forth in Row 11 of the cover page for each Reporting Person is based on 20,940,633 Ordinary Shares issued and outstanding as of December 20, 2018, as represented in the Company’s Registration Statement on Form S-8 filed with the Securities and Exchange Commission on December 20, 2018.

 

    The Investment Manager, which serves as the investment manager to the Empery Funds, may be deemed to be the beneficial owner of all Ordinary Shares held by the Empery Funds.  Each of the Reporting Individuals, as Managing Members of the General Partner of the Investment Manager with the power to exercise investment discretion, may be deemed to be the beneficial owner of all Ordinary Shares held by the Empery Funds.  The foregoing should not be construed in and of itself as an admission by any Reporting Person as to beneficial ownership of Ordinary Shares owned by another Reporting Person.  Each of the Empery Funds and the Reporting Individuals hereby disclaims any beneficial ownership of any such Ordinary Shares.

 

Item 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
   
  If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: [X]

 

 CUSIP No.  G7415M108  13G Page 6 of 6 Pages

 

SIGNATURES

After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.

DATED: January 10, 2019

   
   
  EMPERY ASSET MANAGEMENT, LP
  By: EMPERY AM GP, LLC, its General Partner
   
  By:   /s/ Ryan M. Lane                                        
  Name:  Ryan M. Lane
  Title:  Managing Member
   
  /s/ Ryan M. Lane                                        
  Ryan M. Lane
   
  /s/ Martin D. Hoe                                        
  Martin D. Hoe

 

 

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