Initial Statement of Beneficial Ownership (3)

Date : 10/09/2019 @ 8:02PM
Source : Edgar (US Regulatory)
Stock : China XD Plastics Company Ltd (CXDC)
Quote : 2.01  0.0124 (0.62%) @ 10:59PM

Initial Statement of Beneficial Ownership (3)

FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

OMB APPROVAL
OMB Number: 3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

MORGAN STANLEY

2. Date of Event Requiring Statement (MM/DD/YYYY)
1/1/2012 

3. Issuer Name and Ticker or Trading Symbol

China XD Plastics Co Ltd [CXDC]

(Last)        (First)        (Middle)

1585 BROADWAY, 

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                          _____ 10% Owner
_____ Officer (give title below)        ___X___ Other (specify below)
/ See Remarks

(Street)

NEW YORK, NY 10036      

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed(MM/DD/YYYY)

 

6. Individual or Joint/Group Filing(Check Applicable Line)

___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person


Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date ExercisableExpiration DateTitleAmount or Number of Shares

Explanation of Responses:

Remarks:
(1) This form is filed by (i) Morgan Stanley ("MS Parent"), (ii) MS Holdings Incorporated ("MS Holdings"), (iii) Morgan Stanley Private Equity Asia III, Inc. ("MS Inc"), (iv) Morgan Stanley Private Equity Asia III, L.L.C. ("MS LLC"), (v) North Haven Private Equity Asia III, L.P. ("NH LP"), (vi) North Haven Private Equity Asia Employee Investors III, L.P. ("NH Employee"), (vii) Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd, ("MSPEA Holdings") and (viii) MSPEA Modified Plastics Holding Limited ("MSPEA") (collectively, the "Reporting Persons"). MS Holdings is a wholly owned subsidiary of MS Parent. MS Inc is a wholly owned subsidiary of MS Holdings and is the managing member of MS LLC. MS LLC is the general partner of both NH LP and NH Employee. NH LP holds 92.13% of MSPEA Holdings and NH Employee holds 7.87% of MSPEA Holdings. MSPEA Holdings owns 100% of MSPEA. MSPEA has affirmed the appointment of its nominee to CXDC's board of directors, Mr. Homer Sun, who became the Issuer's director on January 1, 2012. By virtue of Mr. Homer Sun being the Issuer's director, each of the Reporting Persons is a director by deputization.* (2) This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with the Securities and Exchange Commission Release No. 34-39538 of 1998. Neither the filing of this Form 3 nor any of its contents shall be deemed to constitute an admission by any Reporting Person that it is the beneficial owner of any such shares of common stock, par value $0.0001, of CXDC for purposes of Section 16 of the Securities Exchange Act, or for any other purpose, and each of the Reporting Persons expressly disclaims the beneficial ownership thereof except to the extent of its pecuniary interest therein, if any. * Mr. Homer Sun is no longer a director of CXDC effective September 30, 2019.
No securities are beneficially owned.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
MORGAN STANLEY
1585 BROADWAY
NEW YORK, NY 10036
X

See Remarks
MS HOLDINGS INC
1585 BROADWAY
NEW YORK, NY 10036
X

See Remarks
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC.
1585 BROADWAY
NEW YORK, NY 10036
X

See Remarks
MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C.
1585 BROADWAY
NEW YORK, NY 10036
X

See Remarks
North Haven Private Equity Asia III, L.P.
1585 BROADWAY
NEW YORK, NY 10036
X

See Remarks
North Haven Private Equity Asia Employee Investors III, L.P.
1585 BROADWAY
NEW YORK, NY 10036
X

See Remarks
MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD
C/O SERTUS INC. (CAYMAN) LIMITED
GOV. SQ, STE #5204, 23 LIME TREE BAY AVE
GRAND CAYMAN, E9 KY1-1104
X

See Remarks
MSPEA MODIFIED PLASTICS HOLDING LTD
C/O SERTUS INC. (CAYMAN) LIMITED
GOV. SQ, STE #5204, 23 LIME TREE BAY AVE
GRAND CAYMAN, E9 KYI-1104
X

See Remarks

Signatures
MORGAN STANLEY, By: /s/ Stefanie Chang Yu, Authorized Signatory10/9/2019
**Signature of Reporting PersonDate

MS HOLDINGS INCORPORATED, By: /s/ Christopher H. Norris, Director/President10/9/2019
**Signature of Reporting PersonDate

MORGAN STANLEY PRIVATE EQUITY ASIA III, INC., By: /s/ David N. Miller, Director/President/Managing Director10/9/2019
**Signature of Reporting PersonDate

MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C., By: Morgan Stanley Private Equity Asia III, Inc., its managing member, By: /s/ David N. Miller, Director/President/Managing Director10/9/2019
**Signature of Reporting PersonDate

NORTH HAVEN PRIVATE EQUITY ASIA III, L.P., By: Morgan Stanley Private Equity Asia III, L.L.C., its general partner, By: Morgan Stanley Private Equity Asia III, Inc., its managing member, By: /s/ David N. Miller, President10/9/2019
**Signature of Reporting PersonDate

NORTH HAVEN PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III, L.P., By: Morgan Stanley Private Equity Asia III, L.L.C., its general partner, By: Morgan Stanley Private Equity Asia III, Inc., its managing member, By: /s/ David N. Miller, President10/9/2019
**Signature of Reporting PersonDate

MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD, By: /s/ Ivan John Sutlic, Director10/9/2019
**Signature of Reporting PersonDate

MSPEA MODIFIED PLASTICS HOLDING LIMITED, By: /s/ Ivan John Sutlic, Director10/9/2019
**Signature of Reporting PersonDate

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