0001172661-12-000151.txt : 20120214 0001172661-12-000151.hdr.sgml : 20120214 20120214080007 ACCESSION NUMBER: 0001172661-12-000151 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20120214 DATE AS OF CHANGE: 20120214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Himax Technologies, Inc. CENTRAL INDEX KEY: 0001342338 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 000000000 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-81789 FILM NUMBER: 12602542 BUSINESS ADDRESS: STREET 1: NO. 26, ZIH LIAN ROAD STREET 2: SINSHIH DISTRICT, TAINAN CITY 74148 CITY: TAIWAN STATE: F5 ZIP: - BUSINESS PHONE: 866 (6) 505-0880 MAIL ADDRESS: STREET 1: NO. 26, ZIH LIAN ROAD STREET 2: SINSHIH DISTRICT, TAINAN CITY 74148 CITY: TAIWAN STATE: F5 ZIP: - FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Dalton Investments LLC CENTRAL INDEX KEY: 0001388838 IRS NUMBER: 954736598 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 12424 WILSHIRE BLVD STREET 2: SUITE 600 CITY: LOS ANGELES STATE: CA ZIP: 90025 BUSINESS PHONE: (310)442-5200 MAIL ADDRESS: STREET 1: 12424 WILSHIRE BLVD STREET 2: SUITE 600 CITY: LOS ANGELES STATE: CA ZIP: 90025 SC 13G 1 HIMX123111.txt SCHEDULE 13G HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Himax Technologies, Inc. (Name of Issuer) ADR (Title of Class of Securities) 43289P106 (CUSIP Number) December 31, 2011 (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 that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 43289P106 1. Names of Reporting Persons. Dalton Investments LLC 2. Check the Appropriate Box if a Member Of a Group [ ] (a) [X] (b) 3. SEC Use Only 4. Citizenship or Place of Organization California, United States 5. Sole Voting Power: 0 Number of Shares 6. Shared Voting Power: 9,825,187 Beneficially Owned by 7. Sole Dispositive Power: 0 Each Reporting Person With: 8. Shared Dispositive Power: 9,825,187 9. Aggregate Amount Beneficially Owned by Each Reporting Person 9,825,187 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares 11. Percent of Class Represented by Amount in Row (9) 5.55% 12. Type of Reporting Person IA CUSIP No. 43289P106 1. Names of Reporting Persons. James B. Rosenwald III 2. Check the Appropriate Box if a Member Of a Group [ ] (a) [X] (b) 3. SEC Use Only 4. Citizenship or Place of Organization United States 5. Sole Voting Power: 0 Number of Shares 6. Shared Voting Power: 9,825,187 Beneficially Owned by 7. Sole Dispositive Power: 0 Each Reporting Person With: 8. Shared Dispositive Power: 9,825,187 9. Aggregate Amount Beneficially Owned by Each Reporting Person 9,825,187 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares 11. Percent of Class Represented by Amount in Row (9) 5.55% 12. Type of Reporting Person IN Item 1. (a) Name of Issuer: Himax Technologies, Inc. (b) Address of Issuer's Principal Executive Offices: No.26, Zih Lian Road, Fonghua Village, Sinshih Township, Tainan County 744 Taiwan, Republic of China Item 2. (a) Name of Person Filing: This statement is filed by: i) Dalton Investments LLC, a registered investment adviser, with respect to the shares directly owned by it. ii) James B. Rosenwald III, Managing Member of Dalton Investments LLC, with respect to the shares directly owned by Dalton Investments LLC. (b) Address of Principal Business Office, or, if None, Residence: 1601 Cloverfield Boulevard, Suite 5050 N Santa Monica, California 90404 (c) Citizenship: Please refer to Item 4 on each cover sheet for each Reporting Person (d) Title of Class of Securities: ADR (e) CUSIP No.: 43289P106 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 Act. (b) [ ] Bank as defined in Section 3(a)(6) of the Act. (c) [ ] Insurance company as defined in Section 3(a)(19) of the Act. (d) [ ] Investment company registered under Section 8 of the Investment Company Act of 1940. (e) [X] An investment adviser in accordance with Rule 13d-1(b)(1)(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)(1)(ii)(G); (h) [ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940; (j) [ ] A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J); (k) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(K). Item 4. Ownership Please see Item 5-9 and 11 on each cover sheet for each Reporting Person. 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 Not Applicable Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person 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. Certifications 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. Dated: February 14, 2012 Dalton Investments LLC By: /s/ James B. Rosenwald III -------------------------- Name: James B. Rosenwald III Title: Managing Member James B. Rosenwald III By: /s/ James B. Rosenwald III