4//SEC Filing
MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD 4
Accession 0000950142-13-001692
CIK 0001398551other
Filed
Jul 23, 8:00 PM ET
Accepted
Jul 24, 11:05 AM ET
Size
22.5 KB
Accession
0000950142-13-001692
Insider Transaction Report
Form 4
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC.
Director10% OwnerOther
Transactions
- Award
Series A Convertible Preferred Stock, par value $0.001
2013-07-22+425,568→ 6,505,113 total(indirect: See footnotes)Exercise: $0.00From: 2013-07-22Exp: 2016-06-09→ Common stock (425,568 underlying)
MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III LP
Director10% OwnerOther
Transactions
- Award
Series A Convertible Preferred Stock, par value $0.001
2013-07-22+425,568→ 6,505,113 total(indirect: See footnotes)Exercise: $0.00From: 2013-07-22Exp: 2016-06-09→ Common stock (425,568 underlying)
MORGAN STANLEY PRIVATE EQUITY ASIA III LP
Director10% OwnerOther
Transactions
- Award
Series A Convertible Preferred Stock, par value $0.001
2013-07-22+425,568→ 6,505,113 total(indirect: See footnotes)Exercise: $0.00From: 2013-07-22Exp: 2016-06-09→ Common stock (425,568 underlying)
MS HOLDINGS INC
Director10% OwnerOther
Transactions
- Award
Series A Convertible Preferred Stock, par value $0.001
2013-07-22+425,568→ 6,505,113 total(indirect: See footnotes)Exercise: $0.00From: 2013-07-22Exp: 2016-06-09→ Common stock (425,568 underlying)
MORGAN STANLEY
Director10% OwnerOther
Transactions
- Award
Series A Convertible Preferred Stock, par value $0.001
2013-07-22+425,568→ 6,505,113 total(indirect: See footnotes)Exercise: $0.00From: 2013-07-22Exp: 2016-06-09→ Common stock (425,568 underlying)
MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C.
Director10% OwnerOther
Transactions
- Award
Series A Convertible Preferred Stock, par value $0.001
2013-07-22+425,568→ 6,505,113 total(indirect: See footnotes)Exercise: $0.00From: 2013-07-22Exp: 2016-06-09→ Common stock (425,568 underlying)
MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD
Director10% OwnerOther
Transactions
- Award
Series A Convertible Preferred Stock, par value $0.001
2013-07-22+425,568→ 6,505,113 total(indirect: See footnotes)Exercise: $0.00From: 2013-07-22Exp: 2016-06-09→ Common stock (425,568 underlying)
MSPEA AGRICULTURE HOLDING LTD
Director10% OwnerOther
Transactions
- Award
Series A Convertible Preferred Stock, par value $0.001
2013-07-22+425,568→ 6,505,113 total(indirect: See footnotes)Exercise: $0.00From: 2013-07-22Exp: 2016-06-09→ Common stock (425,568 underlying)
Footnotes (6)
- [F1]This form is filed by (i) Morgan Stanley, a Delaware corporation ("MS Parent"), (ii) MS Holdings Incorporated, a Delaware corporation ("MS Holdings"), (iii) Morgan Stanley Private Equity Asia III, Inc., a Delaware corporation ("MS Inc"), (iv) Morgan Stanley Private Equity Asia III, L.L.C., a Delaware limited liability company ("MS LLC"), (v) Morgan Stanley Private Equity Asia III, L.P., a Cayman Islands limited partnership ("MS LP"), (vi) Morgan Stanley Private Equity Asia Employee Investors III, L.P., a Cayman Islands limited partnership ("MS Employee"), (vii) Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd, a Cayman Islands limited liability company ("MSPEA Holdings") and (viii) MSPEA Agriculture Holding Limited, a Cayman Islands limited liability company ("MSPEA") (collectively, the "Reporting Persons"). (cont'd in FN2)
- [F2](cont'd from FN1)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 MS LP and MS Employee. MS LP holds 92.13% of MSPEA Holdings and MS Employee holds 7.87% of MSPEA Holdings. MSPEA Holdings owns 100% of MSPEA.
- [F3]MSPEA is the record holder of 6,505,113 shares of Series A Convertible Preferred Stock par value $0.001 of the Issuer (the "Preferred Shares"). MS Parent may be deemed to beneficially own Preferred Shares beneficially owned by operating units (collectively, the "MS Reporting Units") of MS Parent, its subsidiaries and affiliates (collectively, "MS"). 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 (January 12, 1998).(cont'd in FN4)
- [F4](cont'd from FN3) Neither the filing of this Form 4 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 Preferred Shares for purposes of Section 16 of the Securities Exchange Act of 1934, 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. MSPEA's nominee to the Issuer's board of directors, Mr. Homer Sun, became one of the Issuer's directors on June 9, 2011 and was reappointed on June 8, 2012. By virtue of Mr. Homer Sun being one of the Issuer's directors, each of the Reporting Persons is a director by deputization.
- [F5]The 425,568 shares of the Preferred Shares being reported on this Form 4 were issued as paid-in-kind dividends pursuant to the Certificate of Designation governing the Preferred Shares.
- [F6]The Preferred Shares may be converted into Common Stock at any time at the holder's election. The Preferred Shares will convert into Common Stock automatically upon the 5th anniversary of the initial issuance, which will be on June 9, 2016.
Documents
Issuer
Yongye International, Inc.
CIK 0001398551
Entity typeother
IncorporatedCayman Islands
Related Parties
1- filerCIK 0001522731
Filing Metadata
- Form type
- 4
- Filed
- Jul 23, 8:00 PM ET
- Accepted
- Jul 24, 11:05 AM ET
- Size
- 22.5 KB