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
China Armco Metals, Inc. [ CNAM ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 10/01/2010 | ||||||||||||||||||||||||||
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 | 10/01/2010 | P | 4,700 | A | $3.6932 | 73,400 | D | |||
Common Stock | 10/01/2010 | P | 5,200 | A | $3.6932 | 258,869 | I(1) | See Footnote (1) | ||
Common Stock | 10/01/2010 | P | 3,000 | A | $3.6932 | 30,000 | I(4) | See Footnote (4) | ||
Common Stock | 10/01/2010 | P | 3,500 | A | $3.6932 | 103,000 | I(5) | See Footnote (5) | ||
Common Stock | 10/01/2010 | P | 4,500 | A | $3.6932 | 110,100 | I(2) | See Footnote (2) | ||
Common Stock | 10/01/2010 | P | 4,100 | A | $3.6932 | 122,000 | I(3) | See Footnote (3) | ||
Common Stock | 10/01/2010 | P | 34,954 | A | $3.6515 | 1,330,602 | D(8) | |||
Common Stock | 10/04/2010 | P | 5,600 | A | $3.3671 | 79,000 | D | |||
Common Stock | 10/04/2010 | P | 5,800 | A | $3.3671 | 264,669 | I(1) | See Footnote (1) | ||
Common Stock | 10/04/2010 | P | 3,200 | A | $3.3671 | 33,200 | I(4) | See Footnote (4) | ||
Common Stock | 10/04/2010 | P | 3,400 | A | $3.3671 | 106,400 | I(5) | See Footnote (5) | ||
Common Stock | 10/04/2010 | P | 4,100 | A | $3.3671 | 114,200 | I(2) | See Footnote (2) | ||
Common Stock | 10/04/2010 | P | 6,600 | A | $3.3671 | 128,600 | I(3) | See Footnote (3) | ||
Common Stock | 10/04/2010 | P | 3,400 | A | $3.3671 | 44,128 | I(6) | See Footnote (6) | ||
Common Stock | 10/04/2010 | P | 3,300 | A | $3.3671 | 32,400 | D(7) | |||
Common Stock | 10/04/2010 | P | 21,005 | A | $3.3671 | 1,351,607 | D(8) |
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 |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. The first Reporting Person has an indirect pecuniary interest in the 264,669 shares held as ABJ Investment Fund LP as he has trading authorization of the shares. |
2. The first Reporting Person has an indirect pecuniary interest in the 114,200 shares held as SBMT2 LP as he has trading authorization of the shares. |
3. The first Reporting Person has an indirect pecuniary interest in the 128,600 shares held as Kaufman LP as he has trading authorization of the shares. |
4. The first Reporting Person has an indirect pecuniary interest in the 33,200 shares held as XWRT2 LP as he has trading authorization of the shares. |
5. The first Reporting Person has an indirect pecuniary interest in the 106,400 shares held as Godfrey2468 LP as he has trading authorization of the shares. |
6. The first Reporting Person has an indirect pecuniary interest in the 44,128 shares held as Tibero 2 LP as he has trading authorization of the shares. |
7. The first Reporting Person is the General Partner of SAS148 LP and has a direct pecuniary interest in the 32,400 shares held by SAS148 LP. |
8. The first Reporting Person is the Managing Member of the General Partner of Barron Partners, LP and has a direct pecuniary interest in the 1,351,607 shares held by Barron Partners, LP. |
Remarks: |
The Reporting Persons are members of a group which in aggregate holds 2,412,264 shares. This number includes 60,600 shares owned by the General Partner of Tibero2 LP and his spouse for which the first Reporting Person Andrew Barron Worden does not have trading authorization and for which he disclaims beneficial ownership. See Attached Exhibit A |
Andrew Barron Worden | 10/05/2010 | |
Sandra Lau, General Partner, ABJ Investment Fund LP | 10/05/2010 | |
Spencer Beal,Trustee,Carlton Beal Family Trust FBO S. Beal, General Partner, SBMT2 LP | 10/05/2010 | |
Daniel Kaufman, President, Dash.com Inc., the General Partner, Kaufman2 LP | 10/05/2010 | |
Joseph Abrams, General Partner, XWRT2 LP | 10/05/2010 | |
Peter Godfrey, General Partner, Godfrey2468 LP | 10/05/2010 | |
Tim Robinson, General Partner, Tibero 2 LP | 10/05/2010 | |
Andrew B. Worden, Managing Director, General Partner, Barron Partners LP | 10/05/2010 | |
Andrew B. Worden,General Partner, SAS148 LP | 10/05/2010 | |
** 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. |