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- Amended Statement of Ownership (SC 13G/A)

Date : 02/14/2012 @ 5:13PM
Source : Edgar (US Regulatory)
Stock : The9 Limited ADS Representing One Ordinary Share (MM) (NCTY)
Quote : 2.65  0.07 (2.71%) @ 12:10PM
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- Amended Statement of Ownership (SC 13G/A)

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. 4)*

 

 

THE9 LIMITED

(Name of Issuer)

 

 

American Depositary Shares, $0.01 par value

(Title of Class of Securities)

88337K104

(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:

¨ Rule 13d-1(b)

x 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).

 

 

 

 

Page 1 of 8 pages


CUSIP No. 88337K104  

 

  1.   

Names of Reporting Persons.

 

QVT Financial LP

 

I.R.S. Identification Nos. of above persons (entities only).

 

11-3694008

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)   ¨         (b)   x

 

  3.  

SEC Use Only

 

  4.  

Citizenship or Place of Organization…

 

    Delaware

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power…

 

    0

   6.   

Shared Voting Power…

 

    1,022,223

   7.   

Sole Dispositive Power…

 

    0

   8.   

Shared Dispositive Power…

 

    1,022,223

  9.

 

Aggregate Amount Beneficially Owned by Each Reporting Person…

 

    1,022,223

10.

 

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)     ¨

 

11.

 

Percent of Class Represented by Amount in Row (9)

 

    4.07%

12.

 

Type of Reporting Person (See Instructions)

 

     PN

 

 

Page 2 of 8 pages


CUSIP No. 88337K104  

 

  1.   

Names of Reporting Persons.

 

QVT Financial GP LLC

 

I.R.S. Identification Nos. of above persons (entities only).

 

11-3694007

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)   ¨         (b)   x

 

  3.  

SEC Use Only

 

  4.  

Citizenship or Place of Organization…

 

    Delaware

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power…

 

    0

   6.   

Shared Voting Power…

 

    1,022,223

   7.   

Sole Dispositive Power…

 

    0

   8.   

Shared Dispositive Power…

 

    1,022,223

  9.

 

Aggregate Amount Beneficially Owned by Each Reporting Person…

 

    1,022,223

10.

 

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)     ¨

 

11.

 

Percent of Class Represented by Amount in Row (9)

 

    4.07%

12.

 

Type of Reporting Person (See Instructions)

 

    OO

 

 

Page 3 of 8 pages


CUSIP No. 88337K104  

 

  1.   

Names of Reporting Persons.

 

QVT Fund LP

 

I.R.S. Identification Nos. of above persons (entities only).

 

98-0415217

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)   ¨         (b)   x

 

  3.  

SEC Use Only

 

  4.  

Citizenship or Place of Organization…

 

    Cayman Islands

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power…

 

    0

   6.   

Shared Voting Power…

 

    923,596

   7.   

Sole Dispositive Power…

 

    0

   8.   

Shared Dispositive Power…

 

    923,596

  9.

 

Aggregate Amount Beneficially Owned by Each Reporting Person…

 

    923,596

10.

 

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)     ¨

 

11.

 

Percent of Class Represented by Amount in Row (9)

 

    3.68%

12.

 

Type of Reporting Person (See Instructions)

 

    PN

 

 

Page 4 of 8 pages


CUSIP No. 88337K104  

 

  1.   

Names of Reporting Persons.

 

QVT Associates GP LLC

 

I.R.S. Identification Nos. of above persons (entities only).

 

01-0798253

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)   ¨         (b)   x

 

  3.  

SEC Use Only

 

  4.  

Citizenship or Place of Organization…

 

    Delaware

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power…

 

    0

   6.   

Shared Voting Power…

 

    1,022,223

   7.   

Sole Dispositive Power…

 

    0

   8.   

Shared Dispositive Power…

 

    1,022,223

  9.

 

Aggregate Amount Beneficially Owned by Each Reporting Person…

 

    1,022,223

10.

 

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)     ¨

 

11.

 

Percent of Class Represented by Amount in Row (9)

 

    4.07%

12.

 

Type of Reporting Person (See Instructions)

 

     OO

 

 

Page 5 of 8 pages


Item 1  

(a).

   Name of Issuer      
     THE9 LIMITED (the “Issuer”)      

Item 1

 

(b).

   Address of Issuer’s Principal Executive Offices      
     The address of the Issuer’s principal executive offices is:      
     Building No. 3, 690 Bibo Road, Zhang Jiang Hi-Tech Park, Pudong New Area, Pudong, Shanghai 201203, People’s Republic of China      
Item 2  

(a).

   Name of Person Filing      
Item 2  

(b).

   Address of Principal Business Office or, if none, Residence      
Item 2  

(c).

   Citizenship      
    

QVT Financial LP

1177 Avenue of the Americas, 9th Floor

New York, New York 10036

Delaware Limited Partnership

     
    

QVT Financial GP LLC

1177 Avenue of the Americas, 9th Floor

New York, New York 10036

Delaware Limited Liability Company

     
    

QVT Fund LP

Walkers SPV, Walker House

87 Mary Street

George Town, Grand Cayman, KY1-9005 Cayman Islands

Cayman Islands Limited Partnership

     
    

QVT Associates GP LLC

1177 Avenue of the Americas, 9th Floor

New York, New York 10036

Delaware Limited Liability Company

     
Item 2  

(d).

   Title of Class of Securities      
     American Depositary Shares, $0.01 par value (the “Common Stock”).      
Item 2  

(e).

   CUSIP Number      
     The CUSIP number of the Common Stock is 88337K104.      
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)    ¨    Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
  (b)    ¨    Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
  (c)    ¨    Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
  (d)    ¨    Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
  (e)    ¨    An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
  (f)    ¨    An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
  (g)    ¨    A parent holding company or control person in accordance with § 240.13d-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 (15 U.S.C. 80a-3);
  (j)    ¨    A non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J);
  (k)    ¨    Group, in accordance with §240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J), please specify the type of institution:        .

 

Page 6 of 8 pages


Item 4.    Ownership.      
   (a)    Amount beneficially owned as of December 31, 2011:      
      QVT Financial LP (“QVT Financial”) is the investment manager for QVT Fund LP (the “Fund”), which beneficially owns 923,596 shares of Common Stock. QVT Financial is also the investment manager for Quintessence Fund L.P. (“Quintessence”), which beneficially owns 98,627 shares of Common Stock. QVT Financial has the power to direct the vote and disposition of the Common Stock held by each of the Fund and Quintessence. Accordingly, QVT Financial may be deemed to be the beneficial owner of an aggregate amount of 1,022,223 shares of Common Stock, consisting of the shares owned by the Fund and Quintessence.      
      QVT Financial GP LLC, as General Partner of QVT Financial, may be deemed to beneficially own the same number of shares of Common Stock reported by QVT Financial. QVT Associates GP LLC, as General Partner of the Fund and Quintessence, may be deemed to beneficially own the aggregate number of shares of Common Stock owned by the Fund and Quintessence, and accordingly, QVT Associates GP LLC may be deemed to be the beneficial owner of an aggregate amount of 1,022,223 shares of Common Stock.      
      The percentage disclosed in Item 11 of the Cover Pages for each reporting person is calculated based upon 25,120,032 shares of Common Stock outstanding, which is the total number of shares issued and outstanding as reported in the Issuer’s Form 6-K, filed with the Securities and Exchange Commission on August 17, 2011.      
   (b)    Percent of class:      
      See Item 11 of the Cover Pages to this Schedule 13G.      
   (c)    Number of shares as to which the person has:      
      (i)    Sole power to vote or to direct the vote      
         0      
      (ii)    Shared power to vote or to direct the vote      
         See item (a) above.      
      (iii)    Sole power to dispose or to direct the disposition of      
         0      
      (iv)    Shared power to dispose or to direct the disposition of      
         See item (a) above.      
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… x .   
   As of December 31, 2011, each of the reporting persons ceased to be the beneficial owner of more than five percent of the class of securities.   
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
   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.    Certification      
   By signing below I certify that, to the best of my knowledge and belief, the securities referred to above 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.      

 

Page 7 of 8 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: February 14, 2012

 

QVT FINANCIAL LP     QVT FUND LP
By QVT Financial GP LLC,     By QVT Associates GP LLC,
its General Partner     its General Partner
By:  

/s/ Nicholas Brumm

    By:  

/s/ Nicholas Brumm

Name:   Nicholas Brumm     Name:   Nicholas Brumm
Title:   Managing Member     Title:   Managing Member
By:  

/s/ Meg Eisner

    By:  

/s/ Meg Eisner

Name:   Meg Eisner     Name:   Meg Eisner
Title:   Authorized Signatory     Title:   Authorized Signatory
QVT FINANCIAL GP LLC     QVT ASSOCIATES GP LLC
By:  

/s/ Nicholas Brumm

    By:  

/s/ Nicholas Brumm

Name:   Nicholas Brumm     Name:   Nicholas Brumm
Title:   Managing Member     Title:   Managing Member
By:  

/s/ Meg Eisner

    By:  

/s/ Meg Eisner

Name:   Meg Eisner     Name:   Meg Eisner
Title:   Authorized Signatory     Title:   Authorized Signatory

 

Page 8 of 8 pages

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