UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 20-F/A
(Amendment No. 1)
(Mark one)
¨ | REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 |
OR
x | ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the fiscal year ended December 31, 2013.
OR
¨ | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
OR
¨ | SHELL COMPANY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
for the transition period from __________ to ___________
Commission file number 001-34944
China Ceramics Co., Ltd.
(Exact name of the Registrant as specified in its charter)
British Virgin Islands
(Jurisdiction of incorporation or organization)
c/o Jinjiang Hengda Ceramics Co., Ltd.
Junbing Industrial Zone
Anhai, Jinjiang City
Fujian Province, PRC
Telephone: +86 (595) 8576 5053
(Address of principal executive offices)
Huang Jia Dong
c/o Jinjiang Hengda Ceramics Co., Ltd.
Junbing Industrial Zone
Anhai, Jinjiang City
Fujian Province, PRC
Telephone: +86 (595) 8576 5053
Facsimile: +86 (595) 8576 5059
(Name, Telephone, E-mail and/or Facsimile Number and Address of Company Contact Person)
with a copy to:
Stuart Management Company
830 Post Road East
Suite 205
Westport, CT 06880
Securities registered or to be registered pursuant to Section 12(b) of the Act:
Title of each class | Name of each exchange on which registered |
ORDINARY SHARES, PAR VALUE $0.001 | The NASDAQ Stock Market LLC |
Securities registered or to be registered pursuant to Section 12(g) of the Act:
None.
Securities for which there is a reporting obligation pursuant to Section 15(d) of the Act:
None.
On December 31, 2013, the issuer had 20,430,838 shares outstanding.
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act.
Yes¨ Nox
If this report is an annual or transition report, indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934.
Yes¨ Nox
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.
Yesx No¨
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).
Yes¨ No¨
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer or a non-accelerated filer. See definition of “accelerated filer and large accelerated filer” in Rule 12b-2 of the Exchange Act.
¨ Large Accelerated filer | ¨ Accelerated filer | x Non-accelerated filer |
Indicate by check mark which basis of accounting the registrant has used to prepare the financial statements included in this filing:
☐ US GAAP | x | International Financial Reporting Standards as issued by the International Accounting Standards Board | ¨ Other |
If “Other” has been checked in response to the previous question, indicate by check mark which financial statement item the registrant has elected to follow.
¨ Item 17¨ Item 18
If this is an annual report, indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).
Yes¨ Nox
EXPLANATORY NOTE
In the Annual Report on Form 20-F of China Ceramics Co., Ltd. (the “Company”) for the year ended December 31, 2013, the Company reported that it had terminated the engagement of Grant Thornton (Shanghai, PRC) (“GT”), our principal independent registered public accountants at the time of their termination, and provided certain disclosures relating to that termination. In connection with such disclosures, the Company was obligated to provide GT with a copy of the disclosures and request that it provide a letter to the SEC responding to such disclosures. Attached as Exhibit 99.1 is a copy of the letter of GT to the SEC. Except for Item 19 (Exhibits), no changes have been made to the previously filed Annual Report.
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PART II
ITEM 19. | EXHIBITS | |
Exhibit No. | Description | |
1.1 | Amended and Restated Memorandum and Articles of Association of China Ceramics Co., Ltd.(1) | |
1.2 | Memorandum and Articles of Association of Success Winner Limited(2) | |
1.3 | Memorandum and Articles of Association of Stand Best Creation Limited(2) | |
1.4 | Operation Charter of Jinjiang Hengda Ceramics Co., Ltd.(2) | |
2.1 | Specimen Unit Certificate(3) | |
2.2 | Specimen Common Stock Certificate(3) | |
3.1 | Form of Voting Agreement(2) | |
4.1 | Merger and Stock Purchase Agreement among CHAC, China Ceramics Co., Ltd., Hengda, Success Winner and the Seller(2) | |
4.2 | Form of Registration Rights Agreement among CHAC and the founders(3) | |
4.3 | Form of Earn-Out Escrow Agreement(2) | |
4.4 | Form of Indemnity Escrow Agreement(2) | |
4.6 | Form of Lock-Up Agreement for CHAC founders(2) | |
4.7 | Form of Lock-Up Agreement(2) | |
4.8 | Acquisition Agreement, dated November 19, 2009, by and between Jinjiang Hengda Ceramics Co., Ltd., all of the shareholders of Jiangxi Hengdali Constructional Ceramics Co., Ltd., and Jiangxi Hengdali Constructional Ceramics Co., Ltd(8) | |
4.9 | Administrative Services Agreement by and between China Ceramics Co., Ltd. and Stuart Management Co., dated December 1, 2009(8) | |
amendment to administrative services agreement to be added | ||
4.10 | License Agreement between Huang Jia Dong and Jinjiang Hengda Ceramics Co., Ltd.(6) | |
4.11 | China Ceramics Co., Ltd. 2010 Incentive Compensation Plan(7) | |
4.12 | Employment Agreement, dated as of February 1, 2013, by and between China Ceramics and Huang Jia Dong (9) | |
4.13 | Employment Agreement, dated as of February 1, 2013, by and between China Ceramics and Su Pei Zhi (9) | |
4.14 | Employment Agreement, dated as of February 1, 2013, by and between China Ceramics and Su Wei Feng (9) | |
4.15 | Employment Agreement, dated as of February 1, 2013, by and between China Ceramics and Hen Man Edmund (9) | |
4.16 | Term sheets relating to agreemens for derivative instruments* | |
4.17 | Agreement between Taishin International Bank, Co., Ltd., Stand Best Creation Limited and Sound Treasure Limited, dated July 31, 2014* | |
4.18 | Agreement between Stand Best Creation Limited, Huang Jia Dong, Wong Kung Tok, Mr. Huang’s brother-in-law, and Sound Treasure Limited, dated July 31, 2014* | |
8.1 | List of Subsidiaries(5) | |
11.1 | Code of Business Conduct and Ethics(8) | |
12.1 | Certification of the Chief Executive Officer (Principal Executive Officer) pursuant to Rule 13a-14(a) of the Securities Exchange Act, as amended | |
12.2 | Certification of the Chief Financial Officer (Principal Financial Officer) pursuant to Rule 13a-14(a) of the Securities Exchange Act, as amended | |
13.1 | Certification of the Chief Executive Officer and Chief Financial Officer pursuant to 18 U.S.C. 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002* | |
15.1 | Consent of Grant Thornton, an independent registered public accounting firm* | |
99.1 | Letter of Grant Thornton Shanghai PRC to the SEC dated August 1 2014 |
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* | Previously Filed |
(1) | Incorporated by reference to Annexes C and D of China Ceramics’ Prospectus on Form 424B3 filed with the SEC on November 13, 2009. |
(2) | Incorporated by reference to China Ceramics’ Registration Statement on Form F-4 (File No. 333-161557). |
(3) | Incorporated by reference to exhibits of the same number filed with CHAC’s Registration Statement on Form F-1 or amendments thereto (File No. 333-145085). |
(4) | Incorporated by reference to CHAC’s Form 8-K, dated November 21, 2007. |
(5) | Incorporated by reference to exhibits of the same number filed with China Ceramics’ Registration Statement on Form F-1 (File No. 333-164784). |
(6) | Incorporated by reference to exhibits of the same number filed with China Ceramics’ Registration Statement on Form F-1 (File No. 333-170237). |
(7) | Incorporated by reference to Annex A to Exhibit 99.1 filed with China Ceramics’ Report of Foreign Private Issuer on Form 6-K filed with the SEC on November 20, 2010 |
(8) | Incorporated by reference to China Ceramics’ Annual Report on Form 20-F filed with the SEC on May 17, 2010. |
(9) | Incorporated by reference to China Ceramics’ Annual Report on Form 20-F filed with the SEC on April 24, 2013. |
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SIGNATURES
The Registrant hereby certifies that it meets all of the requirements for filing on Form 20-F and that it has duly caused and authorized the undersigned to sign this annual report on its behalf.
CHINA CERAMICS CO., LTD. | |||
August 1, 2014 | By: | /s/ Huang Jia Dong | |
Name: | Huang Jia Dong | ||
Title: | Chief Executive Officer (Principal Executive Officer) |
CHINA CERAMICS CO., LTD. | |||
August 1, 2014 | By: | /s/ Hen Man Edmund | |
Name: | Hen Man Edmund | ||
Title: | Chief Financial Officer (Principal Financial Officer) |
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