-----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, AQORrA8WXy8dinl8xTgsfnsbC3lnWP3p0/d4nxyEaRq4uCvvSJGpBcUZgdmVKCPo 1AAFXU86+qWxGjG7FPS6zw== 0000950159-07-000078.txt : 20070125 0000950159-07-000078.hdr.sgml : 20070125 20070125113726 ACCESSION NUMBER: 0000950159-07-000078 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070125 DATE AS OF CHANGE: 20070125 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Ascend Acquisition Corp. CENTRAL INDEX KEY: 0001350773 STANDARD INDUSTRIAL CLASSIFICATION: BLANK CHECKS [6770] IRS NUMBER: 203881465 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-81810 FILM NUMBER: 07551827 BUSINESS ADDRESS: STREET 1: 435 DEVON PARK DRIVE STREET 2: BUILDING 400 CITY: WAYNE STATE: PA ZIP: 19087 BUSINESS PHONE: 610-293-2512 MAIL ADDRESS: STREET 1: 435 DEVON PARK DRIVE STREET 2: BUILDING 400 CITY: WAYNE STATE: PA ZIP: 19087 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RICE DON K CENTRAL INDEX KEY: 0001261281 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 517 FISHERS RD. CITY: BRYN MAWR STATE: PA ZIP: 19010 SC 13G 1 ascend13g.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. _________)* ASCEND ACQUISITION CORP. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $0.0001 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 04350H 10 0 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2006 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [X] 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 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 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). - -------------------------------------------------------------------------------- CUSIP No. 04350H 10 0 Page 2 of 6 Pages - -------------------------------------------------------------------------------- NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Don K. Rice - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- SEC USE ONLY - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- SOLE VOTING POWER 1,358,096 Shares NUMBER OF SHARES BENEFICIALLY --------------------------------------------------------------- OWNED BY EACH SHARED VOTING POWER REPORTING PERSON 0 WITH --------------------------------------------------------------- SOLE DISPOSITIVE POWER 1,358,096 Shares --------------------------------------------------------------- SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,358,096 Shares - -------------------------------------------------------------------------------- CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |_| - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 15.9% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! - -------------------------------------------------------------------------------- CUSIP No. 04350H 10 0 Page 3 of 6 Pages - -------------------------------------------------------------------------------- Item 1(a). Name of Issuer: Ascend Acquisition Corp. ("Issuer") -------------------------------------------------------------- Item 1(b.) Address of Issuer's Principal Executive Offices: 435 Devon Park Drive, Building 400, Wayne, Pennsylvania 19087 -------------------------------------------------------------- Item 2(a). Name of Persons Filing: Don K. Rice ("Rice") -------------------------------------------------------------- Item 2(b). Address of Principal Business Office or, if None, Residence: The principal business address of Rice is 435 Devon Park Drive, Building 400, Wayne, Pennsylvania 19087 -------------------------------------------------------------- Item 2(c). Citizenship: Rice is a United States citizen -------------------------------------------------------------- Item 2(d). Title of Class of Securities: Common Stock, par value $.0001 per share -------------------------------------------------------------- Item 2(e). CUSIP Number: 04350H 10 0 --------------------------------------------------------------
Item 3. If This Statement is Filed Pursuant to Rules 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: (a) [ ] Broker or dealer registered under Section 15 of the Exchange Act; (b) [ ] Bank as defined in Section 3(a)(6) of the Exchange Act; (c) [ ] Insurance company as defined in Section 3(a)(19) of the Exchange Act; (d) [ ] Investment company registered under Section 8 of the Investment Company Act; (e) [ ] An investment adviser in accordance with Rule 13d-1(b)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with Rule 13d-1(b)(ii)(G) (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J).
- -------------------------------------------------------------------------------- CUSIP No. 04350H 10 0 13G Page 4 of 6 Pages - -------------------------------------------------------------------------------- Item 4. Ownership Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: Rice beneficially owns 1,358,096 shares of common stock. Does not include 953,334 warrants to be held by Rice that will be included in the insider units, which warrants are not exercisable and will not become exercisable within 60 days. (b) Percent of Class: 15.9% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 1,358,096 shares of common stock (ii) Shared power to vote or to direct the vote: 0 shares of common stock (iii) Sole power to dispose or to direct the disposition of: 1,358,096 shares of common stock (iv) Shared power to dispose or to direct the disposition of: 0 shares of common stock Instruction: For computations regarding securities which represent a right to acquire an underlying security see Rule 13d-3(d)(1). Item 5. Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: | | Item 6. Ownership of More than Five Percent on Behalf of Another Person. None. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. None. Item 8. Identification and Classification of Members of the Group. None. - -------------------------------------------------------------------------------- CUSIP No. 04350H 10 0 13G Page 5 of 6 Pages - -------------------------------------------------------------------------------- Item 9. Notice of Dissolution of Group. None. Item 10. Certifications. None. - -------------------------------------------------------------------------------- CUSIP No. 04350H 10 0 13G Page 6 of 6 Pages - -------------------------------------------------------------------------------- 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. Dated: January 24, 2007 /s/ Don K. Rice --------------- Don K. Rice -----END PRIVACY-ENHANCED MESSAGE-----