FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Yongye International, Inc. [ YONG ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 07/03/2014 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 07/03/2014 | J(1)(2) | 0(1)(2) | D | $0 | 0 | I | See footnote(3) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series A Convertible Preferred Stock, par value $0.001 | $0 | 07/03/2014 | J(1)(2) | 0(1)(2) | (1)(2) | (1)(2) | Common stock | 0(1)(2) | $0 | 0 | I | See footnote(3) |
Explanation of Responses: |
1. On July 3, 2014, New York time, Yongye International, Inc. (the "Issuer") completed the merger pursuant to that certain Agreement and Plan of Merger dated as of September 23, 2013, and amended by that certain Amendment No. 1 to the Agreement and Plan of Merger, dated as of April 9, 2014 (the "Merger Agreement"), by and among the Issuer, Full Alliance International Limited, a British Virgin Islands company ("Holdco"), Yongye International Limited, an exempted company with limited liability incorporated under the laws of the Cayman Islands ("Parent"), Yongye International Merger Sub Limited, a Nevada corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a wholly owned subsidiary of Parent, and Mr. Sun ceasing to be a director of the Issuer. |
2. In connection with the Merger, MSPEA Agriculture Holding Limited, a Cayman Islands limited liability company ("MSPEA") contributed 2,128,043 shares of the Issuer's Common Stock and 6,505,113 shares of the Issuer's Series A Convertible Preferred Stock to Parent prior to the consummation of the Merger pursuant to that certain contribution agreement by and among MSPEA, Holdco, Parent and certain stockholders of the Issuer party thereto. |
3. Prior to the contribution to Parent described in footnote 2, MSPEA was the record holder of 6,505,113 shares of Series A Convertible Preferred Stock of the Issuer and 2,128,043 shares of Common Stock of the Issuer (collectively, the "Shares"). Mr. Homer Sun is the chief investment officer of Morgan Stanley Private Equity Asia, which is an affiliate of MSPEA. Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by Mr. Sun that he is the beneficial owner of any such Shares for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose, and Mr. Sun expressly disclaims the beneficial ownership thereof except to the extent of his pecuniary interest therein, if any. |
/s/ Homer Sun | 07/07/2014 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |