UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
(Amendment No. 4)*
Under the Securities Exchange Act of 1934
Fanhua Inc. (formerly CNinsure Inc.)
|
(Name of Issuer)
|
Ordinary Shares, $0.001 par value
|
(Title of Class of Securities)
|
|
G2352K 108**
|
|
|
(CUSIP Number)
|
|
Cathay Capital Holdings II, L.P.
c/o New China Capital Management, LP
Attn: Ling Liu
One Dock Street
Stamford, CT 06902
(203) 328-1800
With a copy to:
George Y. Liu, Esq.
Boies, Schiller & Flexner LLP
575 Lexington Avenue, 7th Floor
New York, NY 10022
(212) 446-2300
|
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
|
|
November 20, 2015
|
|
|
(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 Rule 13d-1(e), 13d-1(f) or 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(b) 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.
**This CUSIP applies to the American Depository shares ("ADSs"), evidenced by American Depository Receipts, each representing 20 ordinary shares of the Issuer. No CUSIP has been assigned to the ordinary shares.
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).
1
|
NAMES OF REPORTING PERSONS
|
|
|
|
|
|
Cathay Capital Holdings II, L.P.
|
|
|
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
|
(b)
|
☒
|
|
|
3
|
SEC USE ONLY
|
|
|
|
|
|
|
|
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
WC, BK
|
|
|
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
|
|
|
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
Cayman Islands
|
|
|
|
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
0
|
|
|
|
|
8
|
SHARED VOTING POWER
|
|
|
5,583,200
|
|
|
|
|
9
|
SOLE DISPOSITIVE POWER
|
|
|
0
|
|
|
|
|
10
|
SHARED DISPOSITIVE POWER
|
|
|
5,583,200
|
|
|
|
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
5,583,200
1
|
|
|
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
|
|
|
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
0.5%
2
|
|
|
|
|
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
PN
|
|
|
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
|
|
|
Cathay Master GP, Ltd.
|
|
|
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
|
(b)
|
☒
|
|
|
3
|
SEC USE ONLY
|
|
|
|
|
|
|
|
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
OO
|
|
|
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
|
|
|
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
Cayman Islands
|
|
|
|
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
0
|
|
|
|
|
8
|
SHARED VOTING POWER
|
|
|
5,583,200
|
|
|
|
|
9
|
SOLE DISPOSITIVE POWER
|
|
|
0
|
|
|
|
|
10
|
SHARED DISPOSITIVE POWER
|
|
|
5,583,200
|
|
|
|
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
5,583,200
3
|
|
|
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
|
|
|
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
0.5%
4
|
|
|
|
|
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
CO
|
|
|
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
|
|
|
New China Capital Management, LP
|
|
|
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
|
(b)
|
☒
|
|
|
3
|
SEC USE ONLY
|
|
|
|
|
|
|
|
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
OO
|
|
|
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
|
|
|
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
Delaware
|
|
|
|
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
0
|
|
|
|
|
8
|
SHARED VOTING POWER
|
|
|
5,583,200
|
|
|
|
|
9
|
SOLE DISPOSITIVE POWER
|
|
|
0
|
|
|
|
|
10
|
SHARED DISPOSITIVE POWER
|
|
|
5,583,200
|
|
|
|
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
5,583,200
5
|
|
|
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
|
|
|
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
0.5%
6
|
|
|
|
|
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
IA, PN
|
|
|
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
|
|
|
NCCM, LLC
|
|
|
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
|
(b)
|
☒
|
|
|
3
|
SEC USE ONLY
|
|
|
|
|
|
|
|
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
OO
|
|
|
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
|
|
|
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
Delaware
|
|
|
|
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
0
|
|
|
|
|
8
|
SHARED VOTING POWER
|
|
|
5,583,200
|
|
|
|
|
9
|
SOLE DISPOSITIVE POWER
|
|
|
0
|
|
|
|
|
10
|
SHARED DISPOSITIVE POWER
|
|
|
5,583,200
|
|
|
|
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
5,583,200
7
|
|
|
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
|
|
|
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
0.5%
8
|
|
|
|
|
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
OO
|
|
|
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
|
|
|
TAM China, LLC
|
|
|
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
|
(b)
|
☒
|
|
|
3
|
SEC USE ONLY
|
|
|
|
|
|
|
|
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
OO
|
|
|
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
|
|
|
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
Delaware
|
|
|
|
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
0
|
|
|
|
|
8
|
SHARED VOTING POWER
|
|
|
5,583,200
|
|
|
|
|
9
|
SOLE DISPOSITIVE POWER
|
|
|
0
|
|
|
|
|
10
|
SHARED DISPOSITIVE POWER
|
|
|
5,583,200
|
|
|
|
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
5,583,200
9
|
|
|
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
|
|
|
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
0.5%
10
|
|
|
|
|
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
OO
|
|
|
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
|
|
|
The Cathay Investment Fund, Limited
|
|
|
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
|
(b)
|
☒
|
|
|
3
|
SEC USE ONLY
|
|
|
|
|
|
|
|
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
WC
|
|
|
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
|
|
|
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
Cayman Islands
|
|
|
|
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
0
|
|
|
|
|
8
|
SHARED VOTING POWER
|
|
|
104,400
|
|
|
|
|
9
|
SOLE DISPOSITIVE POWER
|
|
|
0
|
|
|
|
|
10
|
SHARED DISPOSITIVE POWER
|
|
|
104,400
|
|
|
|
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
104,400
11
|
|
|
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
|
|
|
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
0.0%
12
|
|
|
|
|
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
OO
|
|
|
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
|
|
|
New China Investment Management, Inc.
|
|
|
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
|
(b)
|
☒
|
|
|
3
|
SEC USE ONLY
|
|
|
|
|
|
|
|
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
OO
|
|
|
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
|
|
|
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
Delaware
|
|
|
|
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
0
|
|
|
|
|
8
|
SHARED VOTING POWER
|
|
|
104,400
|
|
|
|
|
9
|
SOLE DISPOSITIVE POWER
|
|
|
0
|
|
|
|
|
10
|
SHARED DISPOSITIVE POWER
|
|
|
104,400
|
|
|
|
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
104,400
13
|
|
|
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
|
|
|
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
0.0%
14
|
|
|
|
|
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
IA, CO
|
|
|
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
/I.R.S IDENTIFICATION NO. OF PERSON
|
|
|
Paloma Partners, LLC / 06-1111569
|
|
|
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
|
(b)
|
☒
|
|
|
3
|
SEC USE ONLY
|
|
|
|
|
|
|
|
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
WC
|
|
|
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
|
|
|
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
Delaware
|
|
|
|
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
0
|
|
|
|
|
8
|
SHARED VOTING POWER
|
|
|
0
|
|
|
|
|
9
|
SOLE DISPOSITIVE POWER
|
|
|
0
|
|
|
|
|
10
|
SHARED DISPOSITIVE POWER
|
|
|
0
|
|
|
|
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
0
|
|
|
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
|
|
|
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
0%
|
|
|
|
|
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
OO
|
|
|
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
/I.R.S IDENTIFICATION NO. OF PERSON
|
|
|
Paloma International Limited / Not Applicable
|
|
|
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
|
(b)
|
☒
|
|
|
3
|
SEC USE ONLY
|
|
|
|
|
|
|
|
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
WC
|
|
|
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
|
|
|
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
Bermuda
|
|
|
|
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
0
|
|
|
|
|
8
|
SHARED VOTING POWER
|
|
|
0
|
|
|
|
|
9
|
SOLE DISPOSITIVE POWER
|
|
|
0
|
|
|
|
|
10
|
SHARED DISPOSITIVE POWER
|
|
|
0
|
|
|
|
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
0
|
|
|
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
|
|
|
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
0%
|
|
|
|
|
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
OO
|
|
|
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
/I.R.S IDENTIFICATION NO. OF PERSON
|
|
|
Paloma Partners Management Company / 13-3145891
|
|
|
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
|
(b)
|
☒
|
|
|
3
|
SEC USE ONLY
|
|
|
|
|
|
|
|
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
OO
|
|
|
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
|
|
|
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
Delaware
|
|
|
|
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
0
|
|
|
|
|
8
|
SHARED VOTING POWER
|
|
|
0
|
|
|
|
|
9
|
SOLE DISPOSITIVE POWER
|
|
|
0
|
|
|
|
|
10
|
SHARED DISPOSITIVE POWER
|
|
|
0
|
|
|
|
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
0
|
|
|
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
|
|
|
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
0%
|
|
|
|
|
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
CO
|
|
|
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
/I.R.S IDENTIFICATION NO. OF PERSON
|
|
|
Paloma Partners Advisors, L.P.
15
|
|
|
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
|
(b)
|
☒
|
|
|
3
|
SEC USE ONLY
|
|
|
|
|
|
|
|
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
OO
|
|
|
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
|
|
|
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
Cayman Islands
|
|
|
|
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
0
|
|
|
|
|
8
|
SHARED VOTING POWER
|
|
|
0
|
|
|
|
|
9
|
SOLE DISPOSITIVE POWER
|
|
|
0
|
|
|
|
|
10
|
SHARED DISPOSITIVE POWER
|
|
|
0
|
|
|
|
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
0
|
|
|
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
|
|
|
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
0%
|
|
|
|
|
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
PN
|
|
|
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
|
|
|
S. Donald Sussman
|
|
|
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
|
(b)
|
☒
|
|
|
3
|
SEC USE ONLY
|
|
|
|
|
|
|
|
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
PF, OO
|
|
|
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
|
|
|
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
United States
|
|
|
|
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
26,075,340
|
|
|
|
|
8
|
SHARED VOTING POWER
|
|
|
5,687,600
|
|
|
|
|
9
|
SOLE DISPOSITIVE POWER
|
|
|
26,075,340
|
|
|
|
|
10
|
SHARED DISPOSITIVE POWER
|
|
|
5,687,600
|
|
|
|
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
31,762,940
16
|
|
|
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
|
|
|
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
2.7%
17
|
|
|
|
|
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
IN
|
|
|
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
|
|
|
Paul S. Wolansky
|
|
|
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
|
(b)
|
☒
|
|
|
3
|
SEC USE ONLY
|
|
|
|
|
|
|
|
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
PF, OO
|
|
|
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
|
|
|
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
United States
|
|
|
|
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
14,716,740
|
|
|
|
|
8
|
SHARED VOTING POWER
|
|
|
5,687,600
|
|
|
|
|
9
|
SOLE DISPOSITIVE POWER
|
|
|
14,716,740
|
|
|
|
|
10
|
SHARED DISPOSITIVE POWER
|
|
|
5,687,600
|
|
|
|
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
20,404,340
18
|
|
|
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
|
|
|
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
1.8%
19
|
|
|
|
|
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
IN
|
|
|
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
|
|
|
Hermann Leung
|
|
|
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
|
(b)
|
☒
|
|
|
3
|
SEC USE ONLY
|
|
|
|
|
|
|
|
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
PF, OO
|
|
|
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
|
|
|
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
Australia
|
|
|
|
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
8,846,520
|
|
|
|
|
8
|
SHARED VOTING POWER
|
|
|
0
|
|
|
|
|
9
|
SOLE DISPOSITIVE POWER
|
|
|
8,846,520
|
|
|
|
|
10
|
SHARED DISPOSITIVE POWER
|
|
|
0
|
|
|
|
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
8,846,520
20
|
|
|
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
|
|
|
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
0.8%
21
|
|
|
|
|
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
IN
|
|
|
|
|
Item 1.
Security and the Issuer
This Amendment No. 4 ("Amendment No. 4") to Schedule 13D amends and supplements the Schedule 13D (the "Original Schedule 13D") filed with the U.S. Securities and Exchange Commission (the "SEC") on December 29, 2011, as previously amended and supplemented by Amendment No. 1 to Schedule 13D filed with the SEC on February 24, 2012 ("Amendment No. 1"), Amendment No. 2 to Schedule 13D filed with the SEC on November 15, 2012 ("Amendment No. 2"), and Amendment No. 3 to Schedule 13D filed with the SEC on January 8, 2013 ("Amendment No. 3") with respect to the ordinary shares, par value $0.001 (the "Common Stock")
22
, of Fanhua Inc.
23
, a Cayman Islands exempted company (the "Issuer"). The principal executive offices of the Issuer are located at 27/F, Pearl River Tower, No. 15 West Zhujiang Road, Guangzhou, Guangdong 510623, People's Republic of China.
This Amendment No. 4 constitutes the final amendment to the Original Schedule 13D with respect to each of Cathay Capital, Cathay GP, New China, NCCM, TAM China, CIF, NCIM, Paloma Partners, Paloma Limited, PPMC, Paloma Partners Advisors, L.P., Mr. Sussman, Mr. Wolansky and Mr. Leung (each, a "Remaining Reporting Person"). This Amendment No. 4 also constitutes an exit filing for each Remaining Reporting Person which terminates each Remaining Reporting Person's obligation to further amend the Original Schedule 13D. Capitalized terms used but not otherwise defined herein have the meanings ascribed to such terms in the Original Schedule 13D. Except as otherwise expressly provided herein, all Items of the Original Schedule 13D, as amended and supplemented by Amendment No. 1, Amendment No. 2, and Amendment No. 3 remain unchanged.
Item 3.
|
Source and Amount of Funds or Other Consideration
|
Sub paragraphs (i), (iii), (vi), (vii) and (viii) of Item 3 are hereby amended and restated as follows:
(i) The 5,583,200 shares of Common Stock (279,160 ADSs) held by Cathay Capital were acquired using working capital, capital contributed to Cathay Capital by its limited partners and margin loans.
(iii) Mr. Wolansky may be deemed to beneficially own the following Common Stock:
§
|
14,716,740 shares of Common Stock (735,837 ADSs) directly held by Mr. Wolansky, acquired by Mr. Wolansky's direct purchase of the Common Stock in the open market, distributions in-kind of Common Stock by CIF to Mr. Wolansky (as described in Item 4 of the Terminating 13G Filing), and Mr. Wolansky's direct purchase of the Common Stock from New China Management Corp. ("NCMC") (as described in Item 4 of the Terminating 13G Filing), an entity which is the former investment manager for CIF and is 100% owned by Mr. Sussman.
|
§
|
5,583,200 shares of Common Stock (279,160 ADSs) directly held by Cathay Capital (Mr. Sussman and Mr. Wolansky are the owners and sole officers and directors of Cathay GP, the general partner of Cathay Capital, and the owners of New China, the investment manager for Cathay Capital, and therefore Mr. Wolansky may be deemed to have the shared power to vote or direct the vote of (and the shared power to dispose or direct the disposition of) the Common Stock directly held by Cathay Capital).
|
§
|
104,400 shares of Common Stock (5,220 ADSs) directly held by CIF (Mr. Sussman and Mr. Wolansky each, directly and/or indirectly, own 50% of NCIM, the investment manager for CIF, and therefore Mr. Wolansky may be deemed to have the shared power to vote or direct the vote of (and the shared power to dispose or direct the disposition of) the Common Stock directly held by CIF).
|
(vi) Not Applicable.
(vii) Not Applicable.
(viii) Mr. Sussman may be deemed to beneficially own the following Common Stock:
§
|
3,322,760 shares of Common Stock (166,138 ADSs) directly held by Mr. Sussman, acquired by Mr. Sussman's direct purchase of the Common Stock in the open market, distributions in-kind of Common Stock by CIF to Mr. Sussman (as described in Item 4 of the Terminating 13G Filing), transfers of Common Stock from the GRAT (as defined below) to Mr. Sussman and a distribution to Mr. Sussman by NCMC (as described in Item 4 of the Terminating 13G Filing), an entity which is the former investment manager for CIF and is 100% owned by Mr. Sussman.
|
§
|
18,460,160 shares of Common Stock (923,008 ADSs) held by a grantor retained annuity trust (the "GRAT"), of which Mr. Sussman is a co-trustee, acquired through transfers of Common Stock from Mr. Sussman to the GRAT (as co-trustee, pursuant to Section 13(d) of the Act and the rules thereunder, Mr. Sussman may be deemed to beneficially own all of the shares of Common Stock held by the GRAT);
|
§
|
4,292,420 shares of Common Stock (214,621 ADSs) held by Caremi Partners Ltd. ("Caremi"), of which Mr. Sussman is the sole shareholder (acquired by distributions in-kind of Common Stock by CIF to Caremi, as described in Item 4 of the Terminating 13G Filing). Pursuant to Section 13(d) of the Act and the rules thereunder, because of his status as sole shareholder, Mr. Sussman may be deemed to beneficially own all of the Common Stock of the Issuer held by Caremi).
|
§
|
5,583,200 shares of Common Stock (279,160 ADSs) directly held by Cathay Capital (Mr. Sussman and Mr. Wolansky are the owners and sole officers and directors of Cathay GP, the general partner of Cathay Capital, and the owners of New China, the investment manager for Cathay Capital, and therefore Mr. Sussman may be deemed to have the shared power to vote or direct the vote of (and the shared power to dispose or direct the disposition of) the Common Stock directly held by Cathay Capital).
|
§
|
104,400 shares of Common Stock (5,220 ADSs) directly held by CIF (Mr. Sussman and Mr. Wolansky each, directly and/or indirectly, own 50% of NCIM, the investment manager for CIF, and therefore Mr. Sussman may be deemed to have the shared power to vote or direct the vote of (and the shared power to dispose or direct the disposition of) the Common Stock directly held by CIF).
|
Item 5.
|
Interest in Securities of the Issuer
|
Subparagraphs (a) and (b) of Item 5 are hereby amended and restated as follows:
The following information with respect to the ownership of the Common Stock is provided as of the date hereof:
Reporting Person
|
Amount
beneficially
owned:
|
Percent
of class:
|
Sole power
to vote or
direct the
vote:
|
Shared
power to
vote or to
direct
the vote:
|
Sole power to
dispose or to
direct the
disposition
of:
|
Shared
power to
dispose or to
direct the
disposition
of:
|
Cathay Capital Holdings II, L.P. (1)
|
5,583,200
|
0.5%
|
0
|
5,583,200
|
0
|
5,583,200
|
Cathay Master GP, Ltd. (2)
|
5,583,200
|
0.5%
|
0
|
5,583,200
|
0
|
5,583,200
|
New China Capital Management, LP (3)
|
5,583,200
|
0.5%
|
0
|
5,583,200
|
0
|
5,583,200
|
NCCM, LLC (4)
|
5,583,200
|
0.5%
|
0
|
5,583,200
|
0
|
5,583,200
|
TAM China, LLC (5)
|
5,583,200
|
0.5%
|
0
|
5,583,200
|
0
|
5,583,200
|
The Cathay Investment Fund, Limited (6)
|
104,400
|
0.0%
|
0
|
104,400
|
0
|
104,400
|
New China Investment Management, Inc. (7)
|
104,400
|
0.0%
|
0
|
104,400
|
0
|
104,400
|
Paloma Partners LLC (8)
|
0
|
0.0%
|
0
|
0
|
0
|
0
|
Paloma International Limited (9)
Paloma Partners Management Company (10)
|
0
0
|
0.0%
0.0%
|
0
0
|
0
0
|
0
0
|
0
0
|
Paloma Partners Advisors, L.P. (11)
|
0
|
0.0%
|
0
|
0
|
0
|
0
|
S. Donald Sussman (12)
|
31,762,940
|
2.7%
|
26,075,340
|
5,687,600
|
26,075,340
|
5,687,600
|
Paul S. Wolansky (13)
|
20,404,340
|
1.8%
|
14,716,740
|
5,687,600
|
14,716,740
|
5,687,600
|
Hermann Leung (14)
|
8,846,520
|
0.8%
|
8,846,520
|
0
|
8,846,520
|
0
|
(1) Cathay Capital is the record owner of 5,583,200 shares of Common Stock.
(2) Cathay GP, as general partner of Cathay Capital, may be deemed to have the shared power to vote or direct the vote of (and the shared power to dispose or direct the disposition of) the Common Stock directly held by Cathay Capital.
(3) New China, as the investment manager of Cathay Capital, may be deemed to have the shared power to vote or direct the vote of (and the shared power to dispose or direct the disposition of) the Common Stock held directly by Cathay Capital.
(4) NCCM, as general partner of New China, may be deemed to have the shared power to vote or direct the vote of (and the shared power to dispose or direct the disposition of) the Common Stock held directly by Cathay Capital.
(5) TAM China, as general partner of New China, may be deemed to have the shared power to vote or direct the vote of (and the shared power to dispose or direct the disposition of) the Common Stock held directly by Cathay Capital.
(6) CIF is the record owner of 104,400 shares of Common Stock.
(7) NCIM, as the investment manager of CIF, may be deemed to have shared power to vote or direct the vote of (and the shared power to dispose or direct the disposition of) the Common Stock directly held by CIF.
(8) Not applicable.
(9) Not applicable.
(10) Not applicable.
(11) Not applicable.
(12) See Item 3(viii) above for a description of the shares of Common Stock that Mr. Sussman may be deemed to beneficially own.
(13) See Item 3(iii) above for a description of the shares of Common Stock that Mr. Wolansky may be deemed to beneficially own.
(14) The 8,846,520 shares of Common Stock beneficially owned by Mr. Leung consist of (i) 8,826,520 shares of Common Stock directly and indirectly held by Web-based Securities Limited, the sole shareholder of which is Mr. Leung, and (ii) 20,000 shares of Common Stock directly held by Mr. Leung.
As of the date hereof, no Reporting Person owns any shares of Common Stock other than those set forth in this Item 5.
Neither the filing of this Statement nor any of its contents shall be deemed to constitute an admission that any of the Reporting Persons (other than the entities identified as holding the Common Stock reported on this Statement) is the beneficial owner of the Common Stock referred to herein for purposes of Section 13(d) of the Act, as amended, or for any other purpose, and such beneficial ownership is expressly disclaimed.
Subparagraph (c) of Item 5 is amended and supplemented to add the following information regarding the trading dates, number of shares of Common Stock purchased or sold, and the price per ADS (each of which represents 20 shares of Common Stock) for all transactions by the Reporting Persons in shares of Common Stock which necessitated the filing of this Amendment No. 4, all of which were brokered transactions:
Name of Reporting Person
|
Date
|
Number of Shares Purchased (Sold)
|
Average Price per ADS
|
Cathay Capital Holdings II, L.P.
|
11/20/2015
|
(2,706,800)
|
10.277602
24
|
Cathay Capital Holdings II, L.P.
|
11/23/2015
|
(95,460)
|
10.201921
25
|
Cathay Capital Holdings II, L.P.
|
08/09/2016
|
(1,153,640)
|
8.567703
26
|
Cathay Capital Holdings II, L.P.
|
08/10/2016
|
(4,000)
|
8.505000
|
Cathay Capital Holdings II, L.P.
|
08/11/2016
|
(1,122,360)
|
8.546460
27
|
Cathay Capital Holdings II, L.P.
|
08/12/2016
|
(246,200)
|
8.603688
28
|
Cathay Capital Holdings II, L.P.
|
08/15/2016
|
(210,920)
|
8.584774
29
|
Cathay Capital Holdings II, L.P.
|
08/16/2016
|
(267,560)
|
8.523395
30
|
Cathay Capital Holdings II, L.P.
|
08/17/2016
|
(59,320)
|
8.503290
31
|
Cathay Capital Holdings II, L.P.
|
09/02/2016
|
(948,000)
|
8.500527
32
|
Cathay Capital Holdings II, L.P.
|
11/09/2016
|
(108,140)
|
8.502506
33
|
Cathay Capital Holdings II, L.P.
|
11/10/2016
|
(148,340)
|
8.622827
34
|
Cathay Capital Holdings II, L.P.
|
11/11/2016
|
(197,340)
|
8.803080
35
|
Cathay Capital Holdings II, L.P.
|
11/14/2016
|
(322,000)
|
8.608929
36
|
Cathay Capital Holdings II, L.P.
|
11/21/2016
|
(268,000)
|
8.611903
37
|
Cathay Capital Holdings II, L.P.
|
11/22/2016
|
(148,420)
|
8.699264
38
|
Cathay Capital Holdings II, L.P.
|
11/23/2016
|
(227,040)
|
8.735382
39
|
Cathay Capital Holdings II, L.P.
|
11/28/2016
|
(1,148,980)
|
9.050895
40
|
Cathay Capital Holdings II, L.P.
|
11/29/2016
|
(1,053,880)
|
9.328214
41
|
Cathay Capital Holdings II, L.P.
|
11/30/2016
|
(664,220)
|
9.453540
42
|
Cathay Capital Holdings II, L.P.
|
12/01/2016
|
(1,269,960)
|
9.177003
43
|
Cathay Capital Holdings II, L.P.
|
12/02/2016
|
(566,680)
|
8.984008
44
|
Cathay Capital Holdings II, L.P.
|
12/05/2016
|
(691,120)
|
8.945212
45
|
Cathay Capital Holdings II, L.P.
|
12/08/2016
|
(238,700)
|
9.900665
46
|
Cathay Capital Holdings II, L.P.
|
12/09/2016
|
(397,380)
|
9.261133
47
|
Cathay Capital Holdings II, L.P.
|
12/12/2016
|
(325,780)
|
8.961387
48
|
Cathay Capital Holdings II, L.P.
|
12/13/2016
|
(196,940)
|
9.030246
49
|
Cathay Capital Holdings II, L.P.
|
12/14/2016
|
(163,860)
|
8.758306
50
|
Cathay Capital Holdings II, L.P.
|
12/20/2016
|
(434,920)
|
8.654527
51
|
Cathay Capital Holdings II, L.P.
|
12/22/2016
|
(164,000)
|
8.720549
52
|
Cathay Capital Holdings II, L.P.
|
01/03/2017
|
(72,000)
|
8.685983
53
|
Cathay Capital Holdings II, L.P.
|
01/04/2017
|
(225,240)
|
8.839170
54
|
Cathay Capital Holdings II, L.P.
|
01/06/2017
|
(278,480)
|
8.778994
55
|
Cathay Capital Holdings II, L.P.
|
01/09/2017
|
(310,220)
|
8.761631
56
|
Cathay Capital Holdings II, L.P.
|
01/17/2017
|
(225,360)
|
8.746860
57
|
Cathay Capital Holdings II, L.P.
|
01/18/2017
|
(94,000)
|
8.775000
|
Cathay Capital Holdings II, L.P.
|
01/19/2017
|
(300,000)
|
8.940730
58
|
Cathay Capital Holdings II, L.P.
|
01/20/2017
|
(246,000)
|
8.861445
59
|
Cathay Capital Holdings II, L.P.
|
01/23/2017
|
(168,000)
|
8.542381
60
|
Cathay Capital Holdings II, L.P.
|
02/03/2017
|
(74,000)
|
8.672591
61
|
Cathay Capital Holdings II, L.P.
|
02/07/2017
|
(234,420)
|
8.635018
62
|
Cathay Capital Holdings II, L.P.
|
02/08/2017
|
(648,600)
|
8.685026
63
|
Cathay Capital Holdings II, L.P.
|
02/09/2017
|
(321,360)
|
8.814671
64
|
Cathay Capital Holdings II, L.P.
|
02/10/2017
|
(232,000)
|
8.884784
65
|
Cathay Capital Holdings II, L.P.
|
02/13/2017
|
(234,000)
|
8.937009
66
|
Cathay Capital Holdings II, L.P.
|
02/14/2017
|
(94,000)
|
8.876170
67
|
Cathay Capital Holdings II, L.P.
|
02/15/2017
|
(244,000)
|
8.989816
68
|
Cathay Capital Holdings II, L.P.
|
02/16/2017
|
(133,740)
|
9.007643
69
|
Cathay Capital Holdings II, L.P.
|
02/17/2017
|
(75,200)
|
9.090000
|
Cathay Capital Holdings II, L.P.
|
02/21/2017
|
(80,000)
|
9.109650
70
|
Cathay Capital Holdings II, L.P.
|
02/22/2017
|
(272,000)
|
9.287363
71
|
Cathay Capital Holdings II, L.P.
|
02/23/2017
|
(180,000)
|
9.462777
72
|
Cathay Capital Holdings II, L.P.
|
02/24/2017
|
(140,000)
|
9.471928
73
|
Cathay Capital Holdings II, L.P.
|
02/27/2017
|
(100,000)
|
9.370365
74
|
Cathay Capital Holdings II, L.P.
|
02/28/2017
|
(100,000)
|
9.137200
75
|
Cathay Capital Holdings II, L.P.
|
03/01/2017
|
(100,000)
|
8.968204
76
|
Cathay Capital Holdings II, L.P.
|
03/08/2017
|
(729,160)
|
8.602810
77
|
Cathay Capital Holdings II, L.P.
|
03/09/2017
|
(791,780)
|
9.032153
78
|
Cathay Capital Holdings II, L.P.
|
03/10/2017
|
(617,100)
|
8.922144
79
|
Cathay Capital Holdings II, L.P.
|
03/13/2017
|
(249,980)
|
9.207739
80
|
Cathay Capital Holdings II, L.P.
|
03/14/2017
|
(206,020)
|
9.157371
81
|
Cathay Capital Holdings II, L.P.
|
03/15/2017
|
(90,220)
|
9.168978
82
|
Cathay Capital Holdings II, L.P.
|
03/16/2017
|
(328,760)
|
8.993168
83
|
Cathay Capital Holdings II, L.P.
|
03/17/2017
|
(458,180)
|
8.872115
84
|
Cathay Capital Holdings II, L.P.
|
03/20/2017
|
(427,300)
|
8.809546
85
|
Cathay Capital Holdings II, L.P.
|
03/21/2017
|
(272,520)
|
8.753680
86
|
Cathay Capital Holdings II, L.P.
|
03/22/2017
|
(340,000)
|
8.744738
87
|
Cathay Capital Holdings II, L.P.
|
03/23/2017
|
(185,240)
|
8.853498
88
|
Cathay Capital Holdings II, L.P.
|
03/24/2017
|
(320,600)
|
8.931278
89
|
Cathay Capital Holdings II, L.P.
|
03/27/2017
|
(91,220)
|
8.837914
90
|
Cathay Capital Holdings II, L.P.
|
03/28/2017
|
(626,000)
|
8.971647
91
|
Cathay Capital Holdings II, L.P.
|
03/29/2017
|
(138,500)
|
8.842462
92
|
Cathay Capital Holdings II, L.P.
|
03/30/2017
|
(122,260)
|
8.588768
93
|
Cathay Capital Holdings II, L.P.
|
03/31/2017
|
(193,960)
|
8.601095
94
|
Cathay Capital Holdings II, L.P.
|
04/05/2017
|
(100,000)
|
8.581880
95
|
Cathay Capital Holdings II, L.P.
|
04/06/2017
|
(331,140)
|
8.936948
96
|
Cathay Capital Holdings II, L.P.
|
04/07/2017
|
(151,280)
|
8.897937
97
|
Cathay Capital Holdings II, L.P.
|
04/10/2017
|
(144,000)
|
8.804166
98
|
Cathay Capital Holdings II, L.P.
|
04/12/2017
|
(502,000)
|
8.777769
99
|
Cathay Capital Holdings II, L.P.
|
04/13/2017
|
(70,000)
|
8.906000
|
Cathay Capital Holdings II, L.P.
|
04/17/2017
|
(84,000)
|
8.864523
100
|
Cathay Capital Holdings II, L.P.
|
04/18/2017
|
(74,140)
|
8.743412
101
|
Cathay Capital Holdings II, L.P.
|
04/19/2017
|
(74,380)
|
8.659394
102
|
Cathay Capital Holdings II, L.P.
|
04/20/2017
|
(74,320)
|
8.676913
103
|
Cathay Capital Holdings II, L.P.
|
04/21/2017
|
(75,520)
|
8.625609
104
|
Cathay Capital Holdings II, L.P.
|
04/24/2017
|
(76,000)
|
8.635000
|
Cathay Capital Holdings II, L.P.
|
06/01/2017
|
(175,340)
|
9.144469
105
|
Cathay Capital Holdings II, L.P.
|
06/05/2017
|
(134,000)
|
9.116716
106
|
Cathay Capital Holdings II, L.P.
|
06/08/2017
|
(110,000)
|
8.867090
107
|
Cathay Capital Holdings II, L.P.
|
06/09/2017
|
(152,000)
|
8.897500
108
|
Cathay Capital Holdings II, L.P.
|
06/12/2017
|
(183,840)
|
8.983937
109
|
Cathay Capital Holdings II, L.P.
|
06/19/2017
|
(177,480)
|
8.917272
110
|
Item 7.
|
Material to be Filed as Exhibits
|
Exhibit 1
|
Joint Filing Agreement, dated December 29, 2011, by and among the Reporting Persons.
|
SIGNATURES
After reasonable inquiry and to the best of each of the undersigned's knowledge and belief, each of the undersigned, severally and not jointly, certifies that the information set forth in this statement is true, complete and correct.
Dated:
June ___, 2017
|
CATHAY CAPITAL HOLDINGS II, L.P.
|
|
|
|
|
By:
|
Cathay Master GP, Ltd., its general partner
|
|
|
|
|
|
|
By:
|
/s/ Paul S. Wolansky
|
|
|
|
Name: Paul S. Wolansky
|
|
|
|
Title: Director
|
|
|
|
|
CATHAY MASTER GP, LTD.
|
|
|
|
|
By:
|
/s/ Paul S. Wolansky
|
|
|
Name: Paul S. Wolansky
|
|
|
Title: Director
|
|
|
|
|
NEW CHINA CAPITAL MANAGEMENT, LP
|
|
|
|
|
By:
|
NCCM, LLC, its general partner
|
|
|
|
|
|
By:
|
/s/ Paul S. Wolansky
|
|
|
|
Name: Paul S. Wolansky
|
|
|
|
Title: Member
|
|
|
|
|
NCCM, LLC
|
|
|
|
|
|
|
By:
|
/s/ Paul S. Wolansky
|
|
|
|
|
Name: Paul S. Wolansky
|
|
|
|
Title: Member
|
|
|
|
THE CATHAY INVESTMENT FUND, LIMITED
|
|
|
|
|
|
|
By:
|
/s/ Paul S. Wolansky
|
|
|
|
Name: Paul S. Wolansky
|
|
|
Title: Director
|
|
NEW CHINA INVESTMENT MANAGEMENT, INC.
|
|
|
|
|
|
|
By:
|
/s/ Paul S. Wolansky
|
|
|
|
Name: Paul S. Wolansky
|
|
|
Title: Chairman
|
|
|
|
|
PAUL S. WOLANSKY
|
|
|
|
/s/ Paul S. Wolansky
|
|
|
|
HERMANN LEUNG
|
|
|
|
/s/ Hermann Leung
|
|
TAM China, LLC
|
|
|
|
|
By:
|
/s/ S. Donald Sussman
|
|
|
Name: S. Donald Sussman
|
|
|
Title: Member
|
|
PALOMA PARTNERS LLC
|
|
|
|
|
|
|
By:
|
/s/Douglas W. Ambrose
|
|
|
|
|
Name: Douglas W. Ambrose
|
|
|
|
Title: Executive Vice President of Paloma Partners Management Company, Special Member Paloma Partners L.L.C.
|
|
|
|
PALOMA INTERNATIONAL LIMITED
|
|
|
|
|
|
|
By:
|
/s/John J. Smith
|
|
|
|
Name: John J. Smith
|
|
|
Title: Director
|
|
PALOMA PARTNERS MANAGEMENT COMPANY
|
|
|
|
|
|
|
By:
|
/s/Douglas W. Ambrose
|
|
|
|
Name: Douglas W. Ambrose
|
|
|
Title: Executive Vice President
|
|
PALOMA PARTNERS ADVISORS, L.P.
By: Paloma Partners Advisors, Inc., general partner
|
|
|
|
|
|
|
By:
|
/s/S. Donald Sussman
|
|
|
|
Name: S. Donald Sussman
|
|
|
Title: President
|
|
|
|
|
S. DONALD SUSSMAN
|
|
|
|
/s/ S. Donald Sussman
|
|
|