SC 13D/A
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
(Name of Issuer)
Common Shares, without par value
(Title of Class of Securities)
(CUSIP Number)
Guobin HU
Tongling Nonferrous Metals Group Holdings Co., Ltd.
Changjiang West Road
Tongling 244001, Anhui Province
Peoples Republic of China
Telephone: +86 562 5860046
and
Dongna HE
China Railway Construction Corporation Limited
No. 40, Fuxing Road
Beijing 100855
Peoples Republic of China
Telephone: +86 10 52688103
and
Guobin HU
CRCC-Tongguan Investment Co., Ltd.
c/o Tongling Nonferrous Metals Group Holdings Co., Ltd.
Changjiang West Road
Tongling 244001, Anhui Province
Peoples Republic of China
Telephone: +86 562 5860046
and
Guobin HU
CRCC-Tongguan Investment (Canada) Co., Ltd.
700 West Georgia Street, 25th Floor
Vancouver, BC Canada
V7Y 1B3
Telephone: +1-604-684-9151
Copies to:
Darren W.T. Novak, Esq.
Davies Ward Phillips & Vineberg LLP
625 Madison Avenue, 12th Floor
New York, New York 10022
(212) 588-5500
(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)
(Date of Event Which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of
§§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o
Note: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See §§240.13d-7 for other parties to whom copies are to be sent.
* The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on 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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1 |
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NAMES OF REPORTING PERSONS
I.R.S. Identification Nos. of above persons (entities only).
Tongling Nonferrous Metals Group Holdings Co., Ltd. |
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2 |
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a) o |
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(b) o |
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3 |
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SEC USE ONLY |
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4 |
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SOURCE OF FUNDS (SEE INSTRUCTIONS) |
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OO;WC; BK (see Item 3) |
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5 |
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
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CITIZENSHIP OR PLACE OF ORGANIZATION |
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Peoples Republic of China
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7 |
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SOLE VOTING POWER |
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NUMBER OF |
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0 |
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SHARES |
8 |
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SHARED VOTING POWER |
BENEFICIALLY |
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OWNED BY |
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10,418,441* |
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EACH |
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SOLE DISPOSITIVE POWER |
REPORTING |
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PERSON |
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0 |
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WITH |
10 |
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SHARED DISPOSITIVE POWER |
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10,418,441* |
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11 |
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
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10,418,441* |
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12 |
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
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13 |
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
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13.3%** |
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14 |
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
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CO |
* Beneficial ownership of 10,418,441 Common Shares (as defined below) referred
to in Rows (8), (10) and (11) (including 2,940,000 Common Shares of which the Reporting Persons (as defined below) may
acquire beneficial ownership within sixty days of February 2, 2010 through the exercise of Options held by the Locked-Up Shareholders (as defined below)) is being reported
hereunder solely because the Reporting Persons may be deemed to have beneficial ownership of such shares as a result of the
Lock-Up Agreements described in Item 4 hereof. Neither the filing of this Schedule 13D nor any of its contents shall be
deemed to constitute an admission by any of the Reporting Persons that it is the beneficial owner of any of the 10,418,441 Common Shares referred to in Rows (8), (10) and (11) for purposes of Section 13(d) of the Exchange Act of 1934, as amended
(the Exchange Act), or for any other purpose, and such beneficial ownership is expressly disclaimed.
** The calculation of the foregoing percentage is based on 75,349,893 Common
Shares issued and outstanding as of December 28, 2009 as represented in the Support Agreement described in Item 4 hereof.
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1 |
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NAMES OF REPORTING PERSONS
I.R.S. Identification Nos. of above persons (entities only).
China Railway Construction Corporation Limited |
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2 |
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a) o |
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(b) o |
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3 |
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SEC USE ONLY |
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4 |
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SOURCE OF FUNDS (SEE INSTRUCTIONS) |
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OO; WC; BK (see Item 3) |
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5 |
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
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CITIZENSHIP OR PLACE OF ORGANIZATION |
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Peoples Republic of China
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7 |
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SOLE VOTING POWER |
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NUMBER OF |
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0 |
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SHARES |
8 |
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SHARED VOTING POWER |
BENEFICIALLY |
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OWNED BY |
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10,418,441* |
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EACH |
9 |
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SOLE DISPOSITIVE POWER |
REPORTING |
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PERSON |
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0 |
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WITH |
10 |
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SHARED DISPOSITIVE POWER |
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10,418,441* |
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11 |
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
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10,418,441* |
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12 |
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
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13 |
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
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13.3%** |
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14 |
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
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CO |
* Beneficial ownership of 10,418,441 Common Shares referred
to in Rows (8), (10) and (11) (including 2,940,000 Common Shares of which the Reporting Persons may
acquire beneficial ownership within sixty days of February 2, 2010 through the exercise of Options held by the Locked-Up Shareholders) is being reported
hereunder solely because the Reporting Persons may be deemed to have beneficial ownership of such shares as a result of the
Lock-Up Agreements described in Item 4 hereof. Neither the filing of this Schedule 13D nor any of its contents shall be
deemed to constitute an admission by any of the Reporting Persons that it is the beneficial owner of any of the 10,418,441
Common Shares referred to in Rows (8), (10) and (11) for purposes of Section 13(d) of the Exchange Act, or for any other purpose, and such beneficial ownership is expressly disclaimed.
** The calculation of the foregoing percentage is based on 75,349,893 Common
Shares issued and outstanding as of December 28, 2009 as represented in the Support Agreement described in Item 4 hereof.
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1 |
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NAMES OF REPORTING PERSONS
I.R.S. Identification Nos. of above persons (entities only).
CRCC-Tongguan Investment Co., Ltd. |
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2 |
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a) o |
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(b) o |
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3 |
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SEC USE ONLY |
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4 |
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SOURCE OF FUNDS (SEE INSTRUCTIONS) |
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OO; WC; BK (see Item 3) |
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5 |
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
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o |
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6 |
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CITIZENSHIP OR PLACE OF ORGANIZATION |
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Peoples Republic of China
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7 |
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SOLE VOTING POWER |
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NUMBER OF |
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0 |
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SHARES |
8 |
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SHARED VOTING POWER |
BENEFICIALLY |
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OWNED BY |
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10,418,441* |
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EACH |
9 |
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SOLE DISPOSITIVE POWER |
REPORTING |
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PERSON |
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0 |
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WITH |
10 |
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SHARED DISPOSITIVE POWER |
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10,418,441* |
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11 |
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
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10,418,441* |
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12 |
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
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13 |
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
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13.3%** |
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14 |
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
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CO |
* Beneficial ownership of 10,418,441 Common Shares referred
to in Rows (8), (10) and (11) (including 2,940,000 Common Shares of which the Reporting Persons may
acquire beneficial ownership within sixty days of February 2, 2010 through the exercise of Options held by Locked-Up Shareholders) is being reported
hereunder solely because the Reporting Persons may be deemed to have beneficial ownership of such shares as a result of the
Lock-Up Agreements described in Item 4 hereof. Neither the filing of this Schedule 13D nor any of its contents shall be deemed to constitute an admission by any of the Reporting Persons that it is the beneficial owner of any of the
10,418,441 Common Shares referred to in Rows (8), (10) and (11) for purposes of Section 13(d) of the Exchange Act, or for any other purpose, and such beneficial ownership is expressly disclaimed.
** The calculation of the foregoing percentage is based on 75,349,893 Common Shares issued and outstanding as of December 28, 2009 as represented in the Support Agreement described in Item 4 hereof.
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1 |
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NAMES OF REPORTING PERSONS
I.R.S. Identification Nos. of above persons (entities only).
CRCC-Tongguan Investment (Canada) Co., Ltd. |
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2 |
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a) o |
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(b) o |
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3 |
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SEC USE ONLY |
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4 |
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SOURCE OF FUNDS (SEE INSTRUCTIONS) |
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OO; WC; BK (see Item 3) |
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5 |
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
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o |
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6 |
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CITIZENSHIP OR PLACE OF ORGANIZATION |
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British Columbia
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7 |
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SOLE VOTING POWER |
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NUMBER OF |
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0 |
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SHARES |
8 |
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SHARED VOTING POWER |
BENEFICIALLY |
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OWNED BY |
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10,418,441* |
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EACH |
9 |
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SOLE DISPOSITIVE POWER |
REPORTING |
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PERSON |
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0 |
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WITH |
10 |
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SHARED DISPOSITIVE POWER |
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10,418,441* |
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11 |
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
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10,418,441* |
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12 |
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
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o
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13 |
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
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13.3%** |
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14 |
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
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CO |
* Beneficial ownership of 10,418,441 Common Shares
referred to in Rows (8), (10) and (11) (including 2,940,000 Common Shares of which the Reporting Persons may
acquire beneficial ownership within sixty days of February 2, 2010 through the exercise of Options) is being
reported hereunder solely because the Reporting Persons may be deemed to have beneficial ownership of such
shares as a result of the Lock-Up Agreements described in Item 4 hereof. Neither the filing of this Schedule 13D
nor any of its contents shall be deemed to constitute an admission by any of the Reporting Persons that it
is the beneficial owner of any of the 10,418,441 Common Shares referred to in Rows (8), (10) and (11)
for purposes of Section 13(d) of the Exchange Act, or for any other purpose, and such
beneficial ownership is expressly disclaimed.
** The calculation of the foregoing percentage is based
on 75,349,893 Common Shares issued and outstanding as of December 28, 2009 as reported in the Support
Agreement described in Item 4 hereof.
This Amendment No. 1 amends and supplements the Schedule 13D filed on January 7, 2010 by
Tongling Nonferrous Metals Group Holdings Co., Ltd., China Railway Construction Corporation Limited
and CRCC-Tongguan Investment Co., Ltd. (the Statement) relating to the common shares, without par
value, of Corriente Resources Inc., a corporation incorporated under the laws of the Province of
British Columbia, Canada. Unless otherwise indicated, all capitalized terms used herein shall have the
meanings given to them in the Statement, and unless amended or supplemented hereby, all information
previously filed remains in effect.
Item 2. Identity and Background
Item 2 of the Statement is hereby amended by deleting the first two sentences of the
first paragraph thereof and inserting the following:
This Schedule 13D is being jointly filed by Tongling Nonferrous Metals Group Holdings Co.,
Ltd., a corporation incorporated under the laws of the Peoples Republic of China (Tongling),
China Railway Construction Corporation Limited, a corporation incorporated under the laws of
Peoples Republic of China (CRCC), CRCC-Tongguan Investment Co., Ltd., a corporation incorporated
under the laws of the Peoples Republic of China (the Offeror), and CRCC-Tongguan Investment
(Canada) Co., Ltd., a corporation incorporated under the laws of the Province of British Columbia
(BC Offeror and, together with Tongling, CRCC and the Offeror, the Reporting Persons). The
Reporting Persons have entered into an Amended and Restated Joint Filing Agreement, dated February 1, 2010, a copy of which is filed herewith as Exhibit 99.4, and is incorporated by reference.
Item 2 of the Statement is hereby amended by adding the following paragraph immediately
following the fourth paragraph thereof:
BC Offeror is a wholly-owned
direct subsidiary of the Offeror. BC Offeror was incorporated under
the laws of the Province of British Columbia on December 30, 2009. BC Offeror has not carried on
any material business or activity prior to the date hereof other than in connection with matters
directly related to the transactions described in Item 4 hereof. The address of the registered and
principal office of BC Offeror is 25th Floor, 700 West Georgia Street, Vancouver,
British Columbia, Canada V7Y 1B3.
Schedule I to the Statement is amended and restated in its entirety to read as set forth on
Schedule I hereto.
Page 6 of 19
Item 3. Source and Amount of Funds or Other Consideration
The last sentence of Item 3 of the
Statement is hereby deleted and replaced with the following:
In addition to
existing cash resources that the Offeror, Tongling and CRCC
have available, the Offeror has received a commitment letter (the Commitment Letter), dated January 28, 2010, from the Bank of China for a loan of up to US$300 million for purposes of funding the
Offer. The loan will be subject to the condition that all relevant governmental and regulatory approvals that are
required to be obtained in connection with the Offer be obtained or otherwise satisfied and terms customary
for such loan transactions. The interest rate for the loan will be settled
between the Offeror and the Bank of China at the time when the
formal loan agreement is entered into and the loan may be repaid at
any time without penalty. The foregoing summary of the Commitment Letter does not purport to be complete and it is
qualified in its entirety by reference to the complete text of the Commitment Letter, which is filed as Exhibit 99.7 hereto,
and is incorporated herein by reference.
Item 4. Purpose of Transaction
The fourth paragraph of Item 4 of the Statement is hereby deleted and replaced in its entirety
with the following:
In accordance with the Support Agreement, on January 25, 2010, the Offeror
assigned its rights under the Support Agreement to BC Offeror pursuant to an assignment and
assumption agreement (the Assignment Agreement). As a result, BC Offeror became entitled to all
the rights and assumed all the obligations under the Support Agreement as the Offeror thereunder.
Notwithstanding the assumption of obligations under the Support Agreement by BC Offeror, the Offeror remains responsible
for all of its obligations under the Support Agreement and continues to be liable to the Issuer for any default in the
performance of
BC Offeror under the Support Agreement.
The seventh paragraph of Item 4 of the Statement is hereby deleted and replaced in its
entirety with the following:
The Offeror entered into a
Lock-Up Agreement (each a Lock-Up Agreement, and collectively,
the Lock-Up Agreements) on December 28, 2009 with each of Daniel Carriere, Richard Clark, Anthony
Holler, Darryl Jones, Ross McDonald, Dale Peniuk, Kenneth Shannon and David Unruh (each a
Locked-Up Shareholder and collectively, the December Locked-Up Shareholders), and the Offeror
entered into a Lock-Up Agreement on January 29, 2010 with each of Warren McLean, Darryl Lindsay, Ian
Harris, Skott Mealer and Leonardo Elizalde (each also a Locked-Up Shareholder and collectively,
the January Locked Up Shareholders and together with the December Locked-Up Shareholders, the
Locked-Up Shareholders). Each Locked-Up
Shareholder executed a Lock-Up Agreement substantially identical to the Form of Lock-Up Agreement
attached hereto as Exhibit 99.3. Pursuant to each Lock-Up Agreement, each Locked-Up Shareholder
party to such Lock-Up Agreement has agreed, among other things, to (a) accept the Offer, (b)
validly deposit or cause to be deposited under the Offer, and not withdraw or cause to be
withdrawn, subject to certain exceptions, all of the Common Shares currently owned or controlled by
such Locked-Up Shareholder, and (c) exercise all of the Options currently owned by such Locked-Up
Shareholder and accept the Offer and validly deposit or cause to be deposited under the Offer, and
not withdraw or cause to be withdrawn, all of the Common Shares issued on such exercise of Options,
representing an aggregate of 10,418,441 Common Shares or approximately 13.3% of the issued and
outstanding Common Shares, except in limited circumstances, some of which are discussed below.
The final paragraph of Item 4 of the Statement is hereby deleted and replaced in its entirety
with the following:
The
foregoing summaries of the Support Agreement, the Offer, the Lock-Up
Agreements and the
Assignment Agreement do not purport to be complete and are qualified in
their entirety by reference to the complete text of the Support Agreement, the Form of Lock-Up Agreement and the Assignment Agreement attached hereto as
Exhibits 99.2, 99.3 and 99.6, respectively, which are incorporated herein by reference.
Item 4 of the Statement is hereby amended by adding the following paragraphs immediately following the last paragraph thereof:
On February 1, 2010, BC Offeror made the Offer pursuant to the terms and conditions set forth in the Support Agreement
and the Assignment Agreement. The Offer will be open for acceptance until 5:00 p.m. (Vancouver time) on March 25, 2010, unless extended or withdrawn.
The foregoing summary of the Offer does not purport to be
complete and is qualified in its entirety by reference to the complete text of the Offer to Purchase and Circular, which is filed as Exhibit 99.5
hereto, and is incorporated herein by reference.
Page 7 of 19
Item 5. Interest in Securities of the Issuer
Item 5(a), (b) and (c) of the Statement are hereby amended
and restated to read in their entirety as follows:
(a) and (b) |
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As of February 2, 2010, the Reporting Persons did not own any Common Shares.
However, as of February 2, 2010, under the definition of beneficial ownership as set forth
in Rule 13d-3 under the Exchange Act, the Reporting Persons may be deemed to have shared
power to vote, direct the vote, dispose of or direct the disposition of (and therefore
beneficially own), 10,418,441 Common Shares (including 2,940,000 Common Shares of which the
Reporting Persons may acquire beneficial ownership within sixty days
of February 2, 2010 through the exercise
of Options held by the Locked-Up Shareholders), representing approximately 13.3% of the issued and outstanding
Common Shares. Accordingly, the percentage of issued and
outstanding Common Shares that may be beneficially owned by the Reporting Persons is
approximately 13.3%. The beneficial ownership of the 10,418,441 Common Shares referred to
above that are subject to the Lock-Up Agreements is expressly disclaimed by each of the
Reporting Persons. |
Page 8 of 19
(c) |
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Except as set forth in Item 4, none of the Reporting Persons nor, to the Reporting
Persons knowledge, any of the Schedule I Persons, has beneficial ownership of, or has
effected any transaction since the date of the Statement, any Common Shares. |
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer
Item 6 of the Statement is hereby amended and restated to read in its entirety as follows:
As reported in Item 4, on December 28, 2009, the Offeror entered into the Lock-Up Agreements
with the December Locked-Up Shareholders. Also as
reported in Item 4, on January 29, 2010, the Offeror entered into the Lock-Up Agreements with the
January Locked-Up Shareholders.
As reported in Item 4, on January 25, 2010 the
Offeror assigned its rights under the
Support Agreement to BC Offeror, whereby BC Offeror became entitled to all the
rights and assumed all the obligations under the Support Agreement as the Offeror
thereunder.
Notwithstanding the assumption of obligations under the Support Agreement by BC Offeror, the Offeror will remain
responsible for all of its obligations under the Support Agreement and continue to be liable to the Issuer for any default in the performance of
BC Offeror under the Support Agreement.
As
reported in Item 3, the Offeror received a Commitment Letter for a loan of up to US$300 million for purposes
of funding the Offer. The information set forth
in Items 3 and 4 hereof is incorporated by reference.
Item 7. Material to be Filed as Exhibits
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Exhibit |
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No. |
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Exhibits Name |
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99.4. |
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Amended and Restated Joint Filing
Agreement, dated February 2, 2010, by and among
Tongling Nonferrous Metals Group Holdings Co., Ltd., China
Railway Construction Corporation Limited, CRCC-Tongguan Investment Co., Ltd. and
CRCC-Tongguan Investment (Canada) Co., Ltd. to the filing of a joint
statement on Schedule 13D, as amended. |
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99.5. |
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Offer to Purchase and Circular dated February 1, 2010.(1) |
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99.6. |
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Assignment and Assumption Agreement,
effective as of January 25, 2010, between CRCC-Tongguan
Investment Co., Ltd. and CRCC-Tongguan Investment (Canada) Co., Ltd.(1) |
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99.7. |
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Commitment Letter, dated
January 28, 2010, from the Bank of China Anhui Branch to
CRCC-Tongguan Investment Co., Ltd. |
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(1) |
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Incorporated by reference to the Schedule 14D-1F filed by Tongling Nonferrous Metals Group Holdings Co., Ltd., China
Railway Construction Corporation Limited, CRCC-Tongguan
Investment Co., Ltd. and CRCC-Tongguan Investment (Canada) Co., Ltd.
on February 2, 2010. |
Page 9 of 19
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 2, 2010
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TONGLING NONFERROUS METALS GROUP
HOLDINGS CO., LTD.
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By: |
/s/ Dongqing LI
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Name: |
Dongqing LI |
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Title: |
Authorized Representative |
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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.
Dated: February 2, 2010
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CHINA RAILWAY CONSTRUCTION CORPORATION LIMITED
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By: |
/s/ Zhiliang ZHOU
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Name: |
Zhiliang ZHOU |
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Title: |
Authorized Representative |
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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.
Dated: February 2, 2010
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CRCC-TONGGUAN INVESTMENT CO., LTD.
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By: |
/s/ Shouhua JIN
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Name: |
Shouhua JIN |
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Title: |
Authorized Representative |
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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.
Dated: February 2, 2010
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CRCC-TONGGUAN INVESTMENT (CANADA) CO., LTD.
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By: |
/s/ Shouhua JIN
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Name: |
Shouhua JIN |
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Title: |
Authorized Representative |
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EXHIBIT INDEX
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Exhibit |
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No. |
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Exhibits Name |
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99.1. |
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Joint Filing Agreement, dated January 7, 2010, by and among
Tongling Nonferrous Metals Group Holdings Co., Ltd., China
Railway Construction Corporation Limited and
CRCC-Tongguan Investment Co., Ltd. to the filing of a joint
statement on Schedule 13D.** |
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99.2. |
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Support Agreement, dated December 28, 2009, by and among
Tongling Non-Ferrous Metals Group Holdings Co., Ltd., China
Railway Construction Corporation Limited, CRCC-Tongguan
Investment Co., Ltd. and Corriente Resources Inc.** |
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99.3. |
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Form of Lock-Up Agreement.** |
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99.4. |
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Amended and Restated Joint Filing
Agreement, dated February 2, 2010, by and among
Tongling Nonferrous Metals Group Holdings Co., Ltd., China
Railway Construction Corporation Limited, CRCC-Tongguan Investment Co., Ltd. and
CRCC-Tongguan Investment (Canada) Co., Ltd. to the filing of a joint
statement on Schedule 13D, as amended.* |
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99.5. |
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Offer to Purchase and Circular dated February 1, 2010.(1) |
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99.6. |
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Assignment and Assumption Agreement,
effective as of January 25, 2010, between CRCC-Tongguan
Investment Co., Ltd. and CRCC-Tongguan Investment (Canada) Co., Ltd.(1) |
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99.7. |
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Commitment Letter, dated
January 28, 2010, from the Bank of China Anhui Branch to
CRCC-Tongguan Investment Co., Ltd.* |
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* |
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Filed herewith |
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** |
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Previously filed |
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(1) |
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Incorporated by reference to the Schedule 14D-1F filed by Tongling Nonferrous Metals Group Holdings Co., Ltd., China
Railway Construction Corporation Limited, CRCC-Tongguan
Investment Co., Ltd. and CRCC-Tongguan Investment (Canada) Co., Ltd. on February 2, 2010. |
Schedule I
DIRECTORS AND EXECUTIVE OFFICERS OF
TONGLING NONFERROUS METALS GROUP HOLDINGS CO., LTD.
(TONGLING)
The (i) name, (ii) title, (iii) country of citizenship, (iv) principal occupation and (v) principal
business address for each member of Tonglings board of directors and each executive officer of
Tongling is set forth below. Tongling is directly owned by the Chinese state-owned Assets Supervision and
Administration Commission of Anhui Province, which is directly under the control of the Anhui
Provincial Government of the Peoples Republic of China. Unless otherwise indicated, all of the
persons listed below are citizens of the Peoples Republic of China. If no principal business
address is given below, the address is Changjiang West Road, Tongling 244001, Anhui Province,
Peoples Republic of China.
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Principal |
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Country of |
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Principal |
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business |
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Name |
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Title |
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citizenship |
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occupation |
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address |
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Jianghong WEI
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Chairman and CEO
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Chairman and CEO of
Tongling |
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Guotai FANG
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Vice Chairman
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Vice Chairman of
Tongling |
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Wu SHAO
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Director and
Standing Vice
President
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Director and
Standing Vice
President of
Tongling |
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Renfa WANG
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Director
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Director of Tongling |
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Xiaowei WU
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Director
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Director of Tongling |
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Huadong GONG
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Director and Vice
President
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Director and Vice
President of
Tongling |
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Keming LIANG
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Director and Vice
President
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Director and Vice
President of
Tongling |
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Mingyong CHEN
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Director and Vice
President
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Director and Vice
President of
Tongling |
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Libao WANG
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Director and Chief
Accountant
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Director and Chief
Accountant of
Tongling |
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Dongqing LI
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Chief Engineer
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Chief Engineer of
Tongling |
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DIRECTORS AND EXECUTIVE OFFICERS OF
CHINA RAILWAY CONSTRUCTION CORPORATION LIMITED
(CRCC)
The (i) name, (ii) title, (iii) country of citizenship, (iv) principal occupation and (v) principal
business address for each member of CRCCs board of directors and each executive officer of CRCC is
set forth below. CRCC is indirectly controlled by the Chinese state-owned Assets Supervision and
Administration Commission, which is directly under the State Council of the Peoples Republic of
China. Unless otherwise indicated, all of the persons listed below are citizens of the Peoples
Republic of China. If no principal business address is given below, the address is No. 40, Fuxing
Road, Beijing 100855, Peoples Republic of China.
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Principal |
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Country of |
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Principal |
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business |
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Name |
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Title |
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citizenship |
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occupation |
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address |
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Guorui LI
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Chairman and
non-executive
director
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Chairman and
non-executive
director of CRCC |
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Yuanchen DING
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Vice chairman and
executive director
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Vice chairman and
executive director
of CRCC |
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Guangfa ZHAO
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Executive director
and company
president
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Executive director
and company
president of CRCC |
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Jingui HUO
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Non-executive
director
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Non-executive
director of CRCC |
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Mingxian ZHU
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Non-executive
director
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Non-executive
director of CRCC |
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Kecheng LI
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Independent
non-executive
director
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Independent
non-executive
director of CRCC |
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Guangjie ZHAO
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Independent
non-executive
director
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Independent
non-executive
director of CRCC |
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Taishi WU
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Independent
non-executive
director
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Independent
non-executive
director of CRCC |
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Waifung NGAI
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Independent
non-executive
director
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Independent
non-executive
director of CRCC |
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Principal |
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Country of |
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Principal |
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business |
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Name |
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Title |
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citizenship |
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occupation |
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address |
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Shugui PENG
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Chairman of the
Supervisor
Committee and
company supervisor
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Chairman of the
Supervisor
Committee and
company supervisor
of CRCC |
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Shaojun HUANG
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Company supervisor
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Company supervisor
of CRCC |
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Zhenyi HU
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Company vice
president and chief
economist
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Company vice
president and chief
economist of CRCC |
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Fengli YU
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Company supervisor
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Company supervisor
of CRCC |
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Guobin XIA
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Company vice
president and chief
engineer
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Company vice
president and chief
engineer of CRCC |
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De FAN
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Company vice
president
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Company vice
president of CRCC |
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Zhiliang ZHOU
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Company vice
president
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Company vice
president of CRCC |
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Shangbiao ZHUANG
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Company vice
president, chief
financial officer
and chief legal
advisor
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Company vice
president, chief
financial officer
and chief legal
advisor of CRCC |
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Zongyan ZHANG
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Company vice
president
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Company vice
president of CRCC |
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Ruchen LIU
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Company vice
president
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Company vice
president of CRCC |
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Tingzhu LI
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Secretary to the
board of directors
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Secretary to the
board of directors
of CRCC |
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Chun Biu LAW
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Qualified
accountant and
joint company
secretary
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Hong Kong
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Joint company
secretary of CRCC |
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DIRECTORS AND EXECUTIVE OFFICERS OF
CRCCTONGGUAN INVESTMENT CO., LTD.
(OFFEROR)
The (i) name, (ii) title, (iii) country of citizenship, (iv) principal occupation and (v) principal
business address for each member of the Offerors board of directors and each executive officer of
the Offeror is set forth below. The Offeror is jointly owned by Tongling and CRCC. Each
of Tongling and CRCC directly owns 50% of the Offerors equity. Unless otherwise indicated, all of the
persons listed below are citizens of the Peoples Republic of China. If no principal business
address is given below, the address is No. 40, Fuxing Road, Beijing 100855, Peoples Republic of
China.
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Principal |
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Country of |
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Principal |
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business |
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Name |
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Title |
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citizenship |
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occupation |
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address |
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Shouhua JIN
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Chairman and
Director
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Head of Capital
Operations
Department of CRCC |
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Dongqing LI
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Director and CEO
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Chief engineer of
Tongling
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Changjiang West
Road, Tongling
244001, Anhui
Province, Peoples
Republic of China |
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Xingxi YU
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Director
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Head of Finance
Department of CRCC |
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Guobin HU
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Director
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Deputy head of
International
Cooperation
Department of
Tongling
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Changjiang West
Road, Tongling
244001, Anhui
Province, Peoples
Republic of China |
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Zhaoqi WANG
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CFO
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Chief of Property
Rights Division of
Finance Department
of CRCC |
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DIRECTORS AND EXECUTIVE OFFICERS OF
CRCCTONGGUAN INVESTMENT (CANADA) CO., LTD.
(BC OFFEROR)
The (i) name, (ii) title, (iii) country of citizenship, (iv) principal occupation and (v) principal
business address for each member of BC Offeror's board of directors and each executive officer of
BC Offeror is set forth below. BC Offeror is a wholly-owned direct subsidiary of the Offeror.
Unless otherwise indicated, all of the persons listed below are citizens of the People's Republic
of China. If no principal business address is given below, the address is No. 40, Fuxing Road,
Beijing 100855, Peoples Republic of China.
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Principal |
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Country of |
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Principal |
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business |
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Name |
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Title |
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citizenship |
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occupation |
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address |
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Shouhua
JIN
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Chairman and
Director
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Head of Capital
Operations
Department of CRCC |
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Dongqing
LI
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CEO and Director
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Chief Engineer of
Tongling |
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Changjiang West
Road, Tongling
244001, Anhui
Province, Peoples
Republic of China |
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Xingxi YU
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Director |
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Head of Finance
Department of CRCC |
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Guobin HU
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Secretary and Director
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Deputy Head of
International
Cooperation
Department of
Tongling |
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Changjiang West
Road, Tongling
244001, Anhui
Province, Peoples
Republic of China |
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Zhaoqi
WANG
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CFO
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Chief of Property
Rights Division of
Finance Department
of CRCC |
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