3//SEC Filing
CITADEL INVESTMENT GROUP II, L.L.C. 3
Accession 0001144204-08-068332
CIK 0000790024other
Filed
Dec 7, 7:00 PM ET
Accepted
Dec 8, 4:56 PM ET
Size
74.0 KB
Accession
0001144204-08-068332
Insider Transaction Report
Form 3
CITADEL L P
Other
Holdings
- 2,428
Common Stock
6.75% SENIOR CONVERTIBLE NOTES
Exercise: $2.25From: 2006-12-27Exp: 2012-12-27→ Common Stock (12,444,444 underlying)- 16,787,000
Common Stock
Holdings
- 2,428
Common Stock
6.75% SENIOR CONVERTIBLE NOTES
Exercise: $2.25From: 2006-12-27Exp: 2012-12-27→ Common Stock (12,444,444 underlying)- 16,787,000
Common Stock
Holdings
6.75% SENIOR CONVERTIBLE NOTES
Exercise: $2.25From: 2006-12-27Exp: 2012-12-27→ Common Stock (12,444,444 underlying)- 16,787,000
Common Stock
- 2,428
Common Stock
GRIFFIN KENNETH C
Other
Holdings
6.75% SENIOR CONVERTIBLE NOTES
Exercise: $2.25From: 2006-12-27Exp: 2012-12-27→ Common Stock (12,444,444 underlying)- 16,787,000
Common Stock
- 2,428
Common Stock
Holdings
6.75% SENIOR CONVERTIBLE NOTES
Exercise: $2.25From: 2006-12-27Exp: 2012-12-27→ Common Stock (12,444,444 underlying)- 16,787,000
Common Stock
- 2,428
Common Stock
Holdings
- 16,787,000
Common Stock
6.75% SENIOR CONVERTIBLE NOTES
Exercise: $2.25From: 2006-12-27Exp: 2012-12-27→ Common Stock (12,444,444 underlying)- 2,428
Common Stock
Holdings
- 16,787,000
Common Stock
6.75% SENIOR CONVERTIBLE NOTES
Exercise: $2.25From: 2006-12-27Exp: 2012-12-27→ Common Stock (12,444,444 underlying)- 2,428
Common Stock
Footnotes (4)
- [F1]The Reporting Persons beneficially own certain Notes of the Issuer issued under an Indenture (each as defined below). At the time that the Indenture was entered into and the Notes were issued, Ms. Yu Xiao Jing and Mr. Xu Xue Ming (collectively, the "Pledgors") entered into a pledge agreement with The Bank of New York, as collateral agent (the "Pledge Agreement") pursuant to which they pledged, respectively 14,917,000 and 1,870,000 shares of common stock, no par value ("Common Shares") of the Issuer (the "Pledged Shares"). As secured creditors with respect to the Pledged Shares, the Reporting Persons may be deemed to beneficially own the Pledged Shares if the Issuer and/or the Pledgors are in default. The Reporting Persons disclaim any pecuniary interest in the Pledged Shares.
- [F2]These securities are owned by Citadel Equity Fund, Ltd.
- [F3]These securities are owned by Citadel Derivatives Group LLC.
- [F4]The Notes would be convertible into 12,444,444 Common Shares (the "Note Shares") but for the limitation set forth in this paragraph. Pursuant to the First Supplemental Indenture, dated May 17, 2007, in no event are the Reporting Persons entitled to convert any portion of the Notes for any number of Note Shares that, upon giving effect to such conversion, would cause the aggregate number of Common Shares owned by the Reporting Persons and its affiliates to exceed 9.99% of the outstanding Common Shares immediately after giving effect to such conversion. As a result, the number of shares reported as beneficially owned by the Reporting Persons is equal to 2,465,537, or 9.99% of the issued and outstanding shares of the Common Shares.
Documents
Issuer
CHINA SHEN ZHOU MINING & RESOURCES, INC.
CIK 0000790024
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001423052
Filing Metadata
- Form type
- 3
- Filed
- Dec 7, 7:00 PM ET
- Accepted
- Dec 8, 4:56 PM ET
- Size
- 74.0 KB