UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lv Jianhua 10TH FLOOR, CHENGSHI XIN YONG SHE TIYU ROAD, XINHUA DISTRICT PINGDINGSHAN, HENAN PROVINCE, F4 467000 |
 X |  X |  President, CEO and Chairman |  |
Honour Express Ltd 10TH FLOOR, CHENGSHI XIN YONG SHE TIYU ROAD, XINHUA DISTRICT PINGDINGSHAN, HENAN PROVINCE, F4 467000 |
 |  X |  |  |
/s/ Jianhua Lv | 02/12/2010 | |
**Signature of Reporting Person | Date | |
/s/ Honour Express Limited | 02/12/2010 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | These shares are held directly by Honour Express Limited ("Honour Express"). Jianhua Lv is a director of Honour Express, and in such capacity, Mr. Lv may be deemed to have voting and dispositive power over the shares held directly by Honour Express. Mr. Lv is also a beneficiary of Honour Express. Pursuant to a certain Incentive Option Agreement dated July 6, 2009 ("Incentive Option Agreement"), Mr. Lv has the right to acquire 100% of the issued and outstanding capital stock of Honour Express from a nominee who holds the shares of capital stock of Honour Express, conditioned upon achievement of certain financial performance targets by SinoCoking Coal and Coke Chemical Industries, Inc. (the "Company"). |