-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HnBocv363NSielSAluxD1EoZufiuQYarH1ZxncwsHcc0adnBP9MT3XcFGFqdChkB PpxwLupCRSX0Nz/FjdjoSg== 0001041885-10-000019.txt : 20100108 0001041885-10-000019.hdr.sgml : 20100108 20100108150810 ACCESSION NUMBER: 0001041885-10-000019 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20100108 DATE AS OF CHANGE: 20100108 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Advance Nanotech, Inc. CENTRAL INDEX KEY: 0000354699 STANDARD INDUSTRIAL CLASSIFICATION: MEASURING & CONTROLLING DEVICES, NEC [3829] IRS NUMBER: 201614256 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-33312 FILM NUMBER: 10517452 BUSINESS ADDRESS: STREET 1: 400 RELLA BLVD, STREET 2: SUITE 160, CITY: MONTEBELLO, STATE: NY ZIP: 10901 BUSINESS PHONE: (845) 533-4225 MAIL ADDRESS: STREET 1: 400 RELLA BLVD, STREET 2: SUITE 160, CITY: MONTEBELLO, STATE: NY ZIP: 10901 FORMER COMPANY: FORMER CONFORMED NAME: DYNAMIC I-T INC DATE OF NAME CHANGE: 19990830 FORMER COMPANY: FORMER CONFORMED NAME: COLORADO GOLD & SILVER INC DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: INGALLS & SNYDER LLC CENTRAL INDEX KEY: 0001041885 IRS NUMBER: 135156620 STATE OF INCORPORATION: NY FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 61 BROADWAY STREET 2: C/O INGALLS & SNYDER CITY: NEW YORK STATE: NY ZIP: 100006 BUSINESS PHONE: 2122697812 MAIL ADDRESS: STREET 1: 61 BROADWAY CITY: NEW YORK STATE: NY ZIP: 100006 SC 13G/A 1 avnti13gisdec09.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5 )* ADVANCE NANOTECH, INC. ----------------------------------------------------------------- (Name of Issuer) Common Stock ----------------------------------------------------------------- (Title of Class of Securities) 007486103 -------------------- (CUSIP Number) 12/31/09 ---------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: / X / Rule 13d-1(b) / / Rule 13d-1(c) / / Rule 13d-1(d) *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 the disclosures provided in a prior cover page. The information required in 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 thatsection of the Act but shall be subject to all other provisions of the Act (however, see the Notes). 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. CUSIP No. 007486103 - --------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). INGALLS & SNYDER, LLC 13-5156620 ------------------------------------------------------------ 2. Check the Appropriate Box if a Member of a Group (a) ----- (b) ----- 3. SEC Use Only --------------------------------------------- 4. Citizenship or Place of Organization New York ---------------------------------------- Number of Shares Beneficially Owned by Each Reporting Person With: 5. Sole Voting Power 0 -------------------------- 6. Shared Voting Power 2,851,370 -------------------------- 7. Sole Dispositive Power 0 -------------------------- 8. Shared Dispositive 3,276,370 -------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 3,276,370 --------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares --------- 11. Percent of Class Represented by Amount in Row (9) 5.3% --------- 12. Type of Reporting Person BD,IA --------- Item 1. (a) Name of Issuer ADVANCE NANOTECH INC. --------------------------------------------------- (b) Address of Issuer's Principal Executive Offices 600 LEXINGTON AVE NEW YORK, NY 10022 --------------------------------------------------- Item 2. (a) Name of Persons Filing INGALLS & SNYDER, LLC ------------------------------------------------------- (b) Address of Principal Business Office or, if none, Residence 61 BROADWAY, NEW YORK, NY 10006 ------------------------------------------------------- (c) Citizenship NEW YORK ------------------------------------------------------- (d) Title of Class of Securities COMMON STOCK ------------------------------------------------------- (e) CUSIP Number 007486103 ------------------------------------------------------- Item 3. This statement is filed pursuant to Rule 13d-1(b), and the Person Filing is a: (a) [X] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); (e) [X] An investment adviser in accordance with section 240.13d-1(b)(1)(ii)(E); Item 4. Ownership (a) Amount beneficially owned: 3,276,370 (b) Percent of Class: 5.3% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 0 (ii) shared power to vote or to direct the vote: 2,851,370 (iii)sole power to dispose or to direct the disposition of: 0 (iv) shared power to dispose or to direct the disposition of: 3,276,370 Item 5. Ownership of Five Percent or Less of a Class Not Applicable Item 6. Ownership of More than Five Percent on Behalf of Another Person Ingalls & Snyder, LLC ("I&S") is a registered broker dealer and a registered investment advisor. Shares reported under shared dispositive power and shared voting power include shares held in accounts, including MacBay Partner, LP and MacBay Partner, LLC, managed under investment advisory contracts. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company Not applicable. Item 8. Identification and Classification of Members of the Group Not applicable. Item 9. Notice of Dissolution of Group Not applicable. Item 10. Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. January 07, 2010 ------------------------------- Date INGALLS & SNYDER, LLC By: /s/ Thomas O. Boucher, Jr. ------------------------------- Thomas O. Boucher, Jr. Manager -----END PRIVACY-ENHANCED MESSAGE-----