China Finance Online Co. Limited
|
(Name of Issuer)
|
Ordinary Shares, par value HK$0.001 per share
|
(Title of Class of Securities)
|
169379104
|
(CUSIP Number)
|
December 31, 2013
|
(Date of Event Which Requires Filing of this Statement)
|
o
|
Rule 13d-1(b)
|
o
|
Rule 13d-1(c)
|
x
|
Rule 13d-1(d)
|
CUSIP No. 169379104
|
13G
|
Page 2 of 9 Pages
|
1
|
NAMES OF REPORTING PERSONS/I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Vertex Technology Fund (III) Ltd (“VTF3”)
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) o
(b) x
|
3
|
SEC USE ONLY
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Singapore
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
5
|
SOLE VOTING POWER
-- (See Row 6 and related footnote)
|
6
|
SHARED VOTING POWER
4 Ordinary Shares (1)
|
|
7
|
SOLE DISPOSITIVE POWER
-- (See Row 8 and related footnote)
|
|
8
|
SHARED DISPOSITIVE POWER
4 Ordinary Shares (1)
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4 Ordinary Shares (1)
|
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
o |
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0% *
|
|
12
|
TYPE OF REPORTING PERSON
CO
|
(1) | Held of record by VTF3. Divestment and voting decisions must be approved by a majority vote of the members of an investment committee established by Vertex Management (II) Pte Ltd (“VM2”) for VTF3. As a result, VM2 may be deemed to have the power to vote and dispose of the shares held of record by VTF3. In addition, Vertex Venture Holdings Ltd (“VVH”), as the sole shareholder of VTF3, and as the sole shareholder of Vickers Capital Limited, which is the sole shareholder of VM2, may also be deemed to have the power to vote and dispose of these shares. See the second paragraph of Item 2(a) of this Schedule 13G for more information. |
* | Based upon 111,145,633 Ordinary Shares of China Finance Online Co. Limited (the “Company”) outstanding as of December 31, 2013, as reported by the Company to the Reporting Persons. |
CUSIP No. 169379104
|
13G
|
Page 3 of 9 Pages
|
1
|
NAMES OF REPORTING PERSONS/I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Vertex Management (II) Pte Ltd (“VM2”)
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) o
(b) x
|
3
|
SEC USE ONLY
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Singapore
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
5
|
SOLE VOTING POWER
-- (See Row 6 and related footnote)
|
6
|
SHARED VOTING POWER
4 Ordinary Shares (2)
|
|
7
|
SOLE DISPOSITIVE POWER
-- (See Row 8 and related footnote)
|
|
8
|
SHARED DISPOSITIVE POWER
4 Ordinary Shares (2)
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4 Ordinary Shares (2)
|
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
o |
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0% *
|
|
12
|
TYPE OF REPORTING PERSON
CO
|
(2) | Held of record by VTF3. Divestment and voting decisions must be approved by a majority vote of the members of an investment committee established by VM2 for VTF3. As a result, VM2 may be deemed to have the power to vote and dispose of the shares held of record by VTF3. In addition, VVH, as the sole shareholder of VTF3, and as the sole shareholder of Vickers Capital Limited, which is the sole shareholder of VM2, may also be deemed to have the power to vote and dispose of these shares. See the second paragraph of Item 2(a) of this Schedule 13G for more information. |
* | Based upon 111,145,633 Ordinary Shares of the Company outstanding as of December 31, 2013, as reported by the Company to the Reporting Persons. |
CUSIP No. 169379104
|
13G
|
Page 4 of 9 Pages
|
1
|
NAMES OF REPORTING PERSONS/I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Vertex Venture Holdings Ltd (“VVH”)
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) o
(b) x
|
3
|
SEC USE ONLY
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Singapore
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
5
|
SOLE VOTING POWER
-- (See Row 6 and related footnote)
|
6
|
SHARED VOTING POWER
4 Ordinary Shares (3)
|
|
7
|
SOLE DISPOSITIVE POWER
-- (See Row 8 and related footnote)
|
|
8
|
SHARED DISPOSITIVE POWER
4 Ordinary Shares (3)
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4 Ordinary Shares (3)
|
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
o |
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0% *
|
|
12
|
TYPE OF REPORTING PERSON
CO
|
(3) | Held of record by VTF3. Divestment and voting decisions must be approved by a majority vote of the members of an investment committee established by VM2 for VTF3. As a result, VM2 may be deemed to have the power to vote and dispose of the shares held of record by VTF3. In addition, VVH, as the sole shareholder of VTF3, and as the sole shareholder of Vickers Capital Limited, which is the sole shareholder of VM2, may also be deemed to have the power to vote and dispose of these shares. See the second paragraph of Item 2(a) of this Schedule 13G for more information. |
* | Based upon 111,145,633 Ordinary Shares of the Company outstanding as of December 31, 2013, as reported by the Company to the Reporting Persons. |
CUSIP No. 169379104
|
13G
|
Page 5 of 9 Pages
|
Item 1(a) | Name of Issuer: |
Item 1(b) | Address of Issuer’s Principal Executive Offices: |
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: |
(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).
|
(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);
|
CUSIP No. 169379104
|
13G
|
Page 7 of 9 Pages
|
(g)
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o A parent holding company or control person in accordance with 240.13d-1(b)(1)(ii)(G);
|
(h)
|
o A savings associations 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 A non-U.S. institution in accordance with §240.13d–1(b)(1)(ii)(J);
|
(k)
|
o 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: ____________
|
Item 4.
|
Ownership
|
(i) | Sole power to vote or direct the vote: |
(ii) | Shared power to vote or direct the vote: |
(iii) | Sole power to dispose or to direct the disposition of: |
(iv) | Shared power to dispose or to direct the disposition of: |
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 Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person |
CUSIP No. 169379104
|
13G
|
Page 8 of 9 Pages
|
Item 8. | Identification and Classification of Members of the Group |
Item 9. | Notice of Dissolution of Group |
Item 10. | Certifications |
CUSIP No. 169379104
|
13G
|
Page 9 of 9 Pages
|
|
VERTEX TECHNOLOGY FUND (III) LTD
|
||
|
|
|
|
Dated: February 4, 2014
|
By:
|
/s/ Chua Joo Hock
|
|
|
Name:
|
Chua Joo Hock
|
|
|
Title:
|
Director
|
|
|
VERTEX MANAGEMENT (II) PTE LTD
|
||
|
|
|
|
Dated: February 4, 2014
|
By:
|
/s/ Chua Joo Hock
|
|
|
Name:
|
Chua Joo Hock
|
|
|
Title:
|
Director
|
|
|
VERTEX VENTURE HOLDINGS LTD
|
||
|
|
|
|
Dated: February 4, 2014
|
By:
|
/s/ Chua Kee Lock
|
|
|
Name:
|
Chua Kee Lock
|
|
|
Title:
|
Director
|
|
Exhibit
|
Title
|
A
|
Agreement of Joint Filing
|
|
VERTEX TECHNOLOGY FUND (III) LTD
|
||
|
|
|
|
Dated: February 4, 2014
|
By:
|
/s/ Chua Joo Hock
|
|
|
Name:
|
Chua Joo Hock
|
|
|
Title:
|
Director
|
|
|
VERTEX MANAGEMENT (II) PTE LTD
|
||
|
|
|
|
Dated: February 4, 2014
|
By:
|
/s/ Chua Joo Hock
|
|
|
Name:
|
Chua Joo Hock
|
|
|
Title:
|
Director
|
|
|
VERTEX VENTURE HOLDINGS LTD
|
||
|
|
|
|
Dated: February 4, 2014
|
By:
|
/s/ Chua Kee Lock
|
|
|
Name:
|
Chua Kee Lock
|
|
|
Title:
|
Director
|
|