-----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, CJ2lV3jpBkHslt4JvulR0/JWp8q252LoC0UXRM560OBFceL67hbRsjQVCvzsn70h o21T8oXi+pGkhSSa69JEFg== 0000950123-10-013534.txt : 20100217 0000950123-10-013534.hdr.sgml : 20100217 20100217062011 ACCESSION NUMBER: 0000950123-10-013534 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20100217 DATE AS OF CHANGE: 20100217 GROUP MEMBERS: XIAOFENG PENG SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: LDK Solar Co., Ltd. CENTRAL INDEX KEY: 0001385424 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 000000000 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-83756 FILM NUMBER: 10611170 BUSINESS ADDRESS: STREET 1: HIGH-TECH INDUSTRIAL PARK CITY: XINYU CITY, JIANGXI PROVINCE STATE: F4 ZIP: 215128 BUSINESS PHONE: 86 790 686-0171 MAIL ADDRESS: STREET 1: HIGH-TECH INDUSTRIAL PARK CITY: XINYU CITY, JIANGXI PROVINCE STATE: F4 ZIP: 215128 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LDK New Energy Holding LTD CENTRAL INDEX KEY: 0001427051 IRS NUMBER: 000000000 STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: HI-TECH INDUSTRIAL PARK CITY: XINYU CITY, JIANGXI PROVINCE STATE: F4 ZIP: 338032 BUSINESS PHONE: (86-790)686-0171 MAIL ADDRESS: STREET 1: HI-TECH INDUSTRIAL PARK CITY: XINYU CITY, JIANGXI PROVINCE STATE: F4 ZIP: 338032 SC 13G/A 1 h04005sc13gza.htm SC 13G/A SC 13G/A
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UNITED STATES
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
(Amendment No. 3)*
LDK Solar Co., Ltd.
 
(Name of Issuer)
Ordinary shares, par value $0.10 each
 
(Title of Class of Securities)
50183L 10 7
 
(CUSIP Number)
Changes in shareholding as of December 31, 2009
 
(Date of Event Which Requires Filing of this Statement)
    Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
  o   Rule 13d-1(b)
 
  o   Rule 13d-1(c)
 
  þ   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).
 
 


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CUSIP No.
 
50183L 10 7 
 

 

           
1   NAME OF REPORTING PERSONS
LDK New Energy Holding Limited
     
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (a)   þ
  (b)   o
     
3   SEC USE ONLY
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  British Virgin Islands
       
  5   SOLE VOTING POWER
     
NUMBER OF   72,585,796
       
SHARES 6   SHARED VOTING POWER
BENEFICIALLY    
OWNED BY  
       
EACH 7   SOLE DISPOSITIVE POWER
REPORTING    
PERSON   72,585,796
       
WITH 8   SHARED DISPOSITIVE POWER
     
   
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  72,585,796
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
   
  55.9%
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
   
  CO

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CUSIP No.
 
50183L 10 7 
 

 

           
1   NAME OF REPORTING PERSONS
Xiaofeng Peng
     
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (a)   þ
  (b)   o
     
3   SEC USE ONLY
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  People’s Republic of China
       
  5   SOLE VOTING POWER
     
NUMBER OF  
       
SHARES 6   SHARED VOTING POWER
BENEFICIALLY    
OWNED BY   72,585,796
       
EACH 7   SOLE DISPOSITIVE POWER
REPORTING    
PERSON  
       
WITH 8   SHARED DISPOSITIVE POWER
     
    72,585,796
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  72,585,796
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
   
  55.9%
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
   
  IN

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Item 1(a) Name of Issuer
Item 1(b) Address of Issuer’s Principal Executive Office
Item 2(a) Name of Person Filing
Item 2(b) Address of Principal Business Office or, if none, Residence
Item 2(c) Citizenship
Item 2(d) Title of Class of Securities
Item 2(e) CUSIP Number
Item 3. If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a
Item 4. Ownership
Item 5. Ownership of Five Percent or Less of a Class
Item 6. Ownership of More than Five Percent on Behalf of Another Person
Item 7. Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company or Control Person
Item 8. Identification and Classification of Members of the Group
Item 9. Notice of Dissolution of Group
Item 10. Certifications
SIGNATURE


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Item 1(a) Name of Issuer:
    LDK Solar Co., Ltd.
Item 1(b) Address of Issuer’s Principal Executive Offices:
    Hi-Tech Industrial Park, Xinyu City, Jiangxi Province 338032, China
Item 2(a) Name of Person Filing:
  (i)   LDK New Energy Holding Limited
 
  (ii)   Xiaofeng Peng
Item 2(b) Address of Principal Business Office or, if none, Residence:
  (i)   Hi-Tech Industrial Park, Xinyu City, Jiangxi Province 338032, China
 
  (ii)   Hi-Tech Industrial Park, Xinyu City, Jiangxi Province 338032, China
Item 2(c) Citizenship:
  (i)   British Virgin Islands
 
  (ii)   People’s Republic of China
Item 2(d) Title of Class of Securities:
    Ordinary shares, par value $0.10 each
Item 2(e) CUSIP Number:
    50183L 10 7
 
    The CUSIP number is for the American depository shares (“ADSs”) evidencing the ordinary shares in respect of which this report is made, which are held on deposit pursuant to the issuer’s depository receipt program. The ordinary shares that are the subject of this report are not held in ADS form.
Item 3. If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
         
(a)
  o   Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o).
 
       
(b)
  o   Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c).
 
       
(c)
  o   Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c).
 
       
(d)
  o   Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

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(e)
  o   An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E).
 
       
(f)
  o   An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F).
 
       
(g)
  o   A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G).
 
       
(h)
  o   A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813).
 
       
(i)
  o   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 (15 U.S.C. 80a-3).
 
       
(j)
  o   Group, in accordance with §240.13d-1(b)(1)(ii)(J).
    Not applicable. The report is being filed pursuant to Rule 13d-1(d).
Item 4. Ownership
         
(a)      Amount beneficially owned:      72,585,796
       
(b)      Percent of class:      55.9%
       
(c)      Number of shares as to which the person has:
       
(i)         Sole power to vote or to direct the vote
    72,585,796  
 
       
(ii)        Shared power to vote or to direct the vote
    72,585,796  
 
       
(iii)       Sole power to dispose or to direct the disposition of
    72,585,796  
 
       
(iv)       Shared power to dispose or to direct the disposition of
    72,585,796  
 
       
    The record holder of the 72,585,796 ordinary shares of the issuer is LDK New Energy Holding Limited, which is wholly owned by Mr. Xiaofeng Peng, who is also the sole director of LDK New Energy Holding Limited.
 
    In connection with and to facilitate hedging transactions by investors holding 4.75% convertible senior notes due 2013 issued by the issuer in April 2008, Morgan Stanley & Co. Incorporated or its affiliate, acting as agent for LDK New Energy Holding Limited, may sell up to 3,000,000 ordinary shares of the issuer in the form of ADSs prior to June 27, 2008 on behalf of LDK New Energy Holding Limited pursuant to a sales plan agreement dated April 9, 2008 with LDK New Energy Holding Limited and in compliance with Rule 144 under the Securities Act of 1933. Concurrently with each such sale, LDK New Energy Holding Limited agreed to purchase an equal amount of ordinary shares of the issuer in the form of ADSs under prepaid forward contracts with affiliates of certain initial purchasers of the above-mentioned convertible senior notes. Prepayments for these purchases were made using the net proceeds from the sales under the sales plan.

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    LDK New Energy Holding Limited has entered into loan facilities with financial and banking institutions to finance its thin-film solar project, which are secured by up to an aggregate of 56,500,000 ordinary shares (including ADSs) of the issuer as of the date hereof, subject to the pledge of additional shares of the issuer or other collateral if the value of the pledged shares declines below specified levels.
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 5% of the class of securities, check the following o.
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
    Not applicable. The report is being filed pursuant to Rule 13d-1(d).

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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.
         
February 16, 2010
  (Date)

LDK New Energy Holding Limited

 
 
  /s/ Xiaofeng Peng    
  Name:   Xiaofeng Peng   
  Title:   Director   
 
  Xiaofeng Peng
 
 
  /s/ Xiaofeng Peng    
  Xiaofeng Peng   
     
 
Note:   Joint Filing Agreement dated February 13, 2008 incorporated herein by reference to Exhibit 99.1 to our Schedule 13G filed with SEC on February 13, 2008.

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