UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
Sino Clean Energy Inc.
(Name of Issuer)
Common Stock, par value $0.001
(Title of Class of Securities)
82936G 200
(CUSIP Number)
Alain Peracca
644 N High Road
Palm Springs, California 92262
sceiowners@aol.com
(760) 325-2103
(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)
August 19, 2014
(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 if filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. ¨
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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CUSIP NO. 82936G 200 |
| Page 2 of 12 |
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1. |
| NAMES OF REPORTING PERSONS Alain Peracca | ||||
2. |
| CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) þ (b) ¨ | ||||
3. |
| SEC USE ONLY | ||||
4. |
| SOURCE OF FUNDS PF | ||||
5. |
| CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) ¨ | ||||
6. |
| CITIZENSHIP OR PLACE OF ORGANIZATION U.S. | ||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| 7. |
| SOLE VOTING POWER 1,551,3171 | ||
| 8. |
| SHARED VOTING POWER 0 | |||
| 9. |
| SOLE DISPOSITIVE POWER 370,000 | |||
| 10. |
| SHARED DISPOSITIVE POWER 0 | |||
11. |
| AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,551,317 | ||||
12. |
| CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ¨ | ||||
13. |
| PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.5%2 | ||||
14. |
| TYPE OF REPORTING PERSON IN |
1 | Due to a Joint Filing and Voting Agreement (further described in Item 6 of the Schedule 13D), the Reporting Person may be deemed to have voting power over 1,551,317 shares of common stock. |
2 | 6.5% based on 23,863,701 shares of common stock outstanding as of May 31, 2012. |
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CUSIP NO. 82936G 200 |
| Page 3 of 12 |
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1. |
| NAMES OF REPORTING PERSONS Lismore Partners, LLC | ||||
2. |
| CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) þ (b) ¨ | ||||
3. |
| SEC USE ONLY | ||||
4. |
| SOURCE OF FUNDS WC | ||||
5. |
| CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) ¨ | ||||
6. |
| CITIZENSHIP OR PLACE OF ORGANIZATION Illinois | ||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| 7. |
| SOLE VOTING POWER 0 | ||
| 8. |
| SHARED VOTING POWER 169,9003 | |||
| 9. |
| SOLE DISPOSITIVE POWER 169,900 | |||
| 10. |
| SHARED DISPOSITIVE POWER 0 | |||
11. |
| AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 169,900 | ||||
12. |
| CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ¨ | ||||
13. |
| PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) *4 | ||||
14. |
| TYPE OF REPORTING PERSON PN |
3 | Due to a Joint Filing and Voting Agreement (further described in Item 6 of the Schedule 13D), the Reporting Person may be deemed to have shared voting power over 169,900 shares of common stock. |
4 | Less than 1% based on 23,863,701 shares of common stock outstanding as of May 31, 2012. |
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CUSIP NO. 82936G 200 |
| Page 4 of 12 |
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1. |
| NAMES OF REPORTING PERSONS Ceferino Nang | ||||
2. |
| CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) þ (b) ¨ | ||||
3. |
| SEC USE ONLY | ||||
4. |
| SOURCE OF FUNDS PF | ||||
5. |
| CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) ¨ | ||||
6. |
| CITIZENSHIP OR PLACE OF ORGANIZATION U.S. | ||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| 7. |
| SOLE VOTING POWER 0 | ||
| 8. |
| SHARED VOTING POWER 165,0005 | |||
| 9. |
| SOLE DISPOSITIVE POWER 165,000 | |||
| 10. |
| SHARED DISPOSITIVE POWER 0 | |||
11. |
| AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 165,000 | ||||
12. |
| CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ¨ | ||||
13. |
| PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) *6 | ||||
14. |
| TYPE OF REPORTING PERSON IN |
5 | Due to a Joint Filing and Voting Agreement (further described in Item 6 of the Schedule 13D), the Reporting Person may be deemed to have shared voting power over 165,000 shares of common stock. |
6 | Less than 1% based on 23,863,701 shares of common stock outstanding as of May 31, 2012. |
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CUSIP NO. 82936G 200 |
| Page 5 of 12 |
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1. |
| NAMES OF REPORTING PERSONS George Vlahos | ||||
2. |
| CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) þ (b) ¨ | ||||
3. |
| SEC USE ONLY | ||||
4. |
| SOURCE OF FUNDS PF | ||||
5. |
| CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) ¨ | ||||
6. |
| CITIZENSHIP OR PLACE OF ORGANIZATION U.S. | ||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| 7. |
| SOLE VOTING POWER 0 | ||
| 8. |
| SHARED VOTING POWER 125,5637 | |||
| 9. |
| SOLE DISPOSITIVE POWER 125,563 | |||
| 10. |
| SHARED DISPOSITIVE POWER 0 | |||
11. |
| AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 125,563 | ||||
12. |
| CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ¨ | ||||
13. |
| PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) *8 | ||||
14. |
| TYPE OF REPORTING PERSON IN |
7 | Due to a Joint Filing and Voting Agreement (further described in Item 6 of the Schedule 13D), the Reporting Person may be deemed to have shared voting power over 125,563 shares of common stock. |
8 | Less than 1% based on 23,863,701 shares of common stock outstanding as of May 31, 2012. |
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CUSIP NO. 82936G 200 |
| Page 6 of 12 |
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1. |
| NAMES OF REPORTING PERSONS Rex Manuel | ||||
2. |
| CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) þ (b) ¨ | ||||
3. |
| SEC USE ONLY | ||||
4. |
| SOURCE OF FUNDS PF | ||||
5. |
| CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) ¨ | ||||
6. |
| CITIZENSHIP OR PLACE OF ORGANIZATION U.S. | ||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| 7. |
| SOLE VOTING POWER 0 | ||
| 8. |
| SHARED VOTING POWER 342,0779 | |||
| 9. |
| SOLE DISPOSITIVE POWER 342,077 | |||
| 10. |
| SHARED DISPOSITIVE POWER 0 | |||
11. |
| AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 342,077 | ||||
12. |
| CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ¨ | ||||
13. |
| PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.4%10 | ||||
14. |
| TYPE OF REPORTING PERSON IN |
9 | Due to a Joint Filing and Voting Agreement (further described in Item 6 of the Schedule 13D), the Reporting Person may be deemed to have shared voting power over 342,077 shares of common stock. |
10 | 1.4% based on 23,863,701 shares of common stock outstanding as of May 31, 2012. |
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CUSIP NO. 82936G 200 |
| Page 7 of 12 |
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1. |
| NAMES OF REPORTING PERSONS Jim Sutter | ||||
2. |
| CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) þ (b) ¨ | ||||
3. |
| SEC USE ONLY | ||||
4. |
| SOURCE OF FUNDS PF | ||||
5. |
| CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) ¨ | ||||
6. |
| CITIZENSHIP OR PLACE OF ORGANIZATION U.S. | ||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| 7. |
| SOLE VOTING POWER 0 | ||
| 8. |
| SHARED VOTING POWER 123,70011 | |||
| 9. |
| SOLE DISPOSITIVE POWER 123,700 | |||
| 10. |
| SHARED DISPOSITIVE POWER 0 | |||
11. |
| AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 123,700 | ||||
12. |
| CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ¨ | ||||
13. |
| PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) *12 | ||||
14. |
| TYPE OF REPORTING PERSON IN |
11 | Due to a Joint Filing and Voting Agreement (further described in Item 6 of the Schedule 13D), the Reporting Person may be deemed to have shared voting power over 123,700 shares of common stock. |
12 | Less than 1% based on 23,863,701 shares of common stock outstanding as of May 31, 2012. |
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CUSIP NO. 82936G 200 |
| Page 8 of 12 |
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1. |
| NAMES OF REPORTING PERSONS Dave Pham | ||||
2. |
| CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) þ (b) ¨ | ||||
3. |
| SEC USE ONLY | ||||
4. |
| SOURCE OF FUNDS PF | ||||
5. |
| CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) ¨ | ||||
6. |
| CITIZENSHIP OR PLACE OF ORGANIZATION U.S. | ||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| 7. |
| SOLE VOTING POWER 0 | ||
| 8. |
| SHARED VOTING POWER 112,57713 | |||
| 9. |
| SOLE DISPOSITIVE POWER 112,577 | |||
| 10. |
| SHARED DISPOSITIVE POWER 0 | |||
11. |
| AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 112,577 | ||||
12. |
| CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ¨ | ||||
13. |
| PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) *14 | ||||
14. |
| TYPE OF REPORTING PERSON IN |
13 | Due to a Joint Filing and Voting Agreement (further described in Item 6 of the Schedule 13D), the Reporting Person may be deemed to have shared voting power over 112,577 shares of common stock. |
14 | Less than 1% based on 23,863,701 shares of common stock outstanding as of May 31, 2012. |
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CUSIP NO. 82936G 200 |
| Page 9 of 12 |
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1. |
| NAMES OF REPORTING PERSONS Peter De Meyer | ||||
2. |
| CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) þ (b) ¨ | ||||
3. |
| SEC USE ONLY | ||||
4. |
| SOURCE OF FUNDS PF | ||||
5. |
| CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) ¨ | ||||
6. |
| CITIZENSHIP OR PLACE OF ORGANIZATION Belgium | ||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| 7. |
| SOLE VOTING POWER 0 | ||
| 8. |
| SHARED VOTING POWER 142,50015 | |||
| 9. |
| SOLE DISPOSITIVE POWER 142,500 | |||
| 10. |
| SHARED DISPOSITIVE POWER 0 | |||
11. |
| AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 142,500 | ||||
12. |
| CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ¨ | ||||
13. |
| PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) *16 | ||||
14. |
| TYPE OF REPORTING PERSON IN |
15 | Due to a Joint Filing and Voting Agreement (further described in Item 6 of the Schedule 13D), the Reporting Person may be deemed to have shared voting power over 142,500 shares of common stock. |
16 | Less than 1% based on 23,863,701 shares of common stock outstanding as of May 31, 2012. |
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CUSIP NO. 82936G 200 |
| Page 10 of 12 |
This Amendment No. 1 (the “Amendment No. 1”) to Schedule 13D amends the Schedule 13D (the “Schedule 13D”) jointly filed with the Securities and Exchange Commission (the “SEC”) on August 6, 2013 by: (i) Alain Peracca, (ii) Lismore Partners, LLC, (iii) Ceferino Nang, (iv) George Vlahos, (v) Rex Manuel, (vi) Jim Sutter, (vii) Dave Pham, and (viii) Peter De Meyer (collectively, the “Reporting Persons”). The Reporting Persons are making this joint filing because they comprise a “group,” within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), formed for the purposes described in Item 4 of the Schedule 13D. Capitalized terms used and not otherwise defined have the respective meanings set forth in the Schedule 13D. Except as otherwise provided herein, each item of the Schedule 13D remains unchanged.
Item 5. | Interest in Securities of the Issuer |
(a) – (b) The aggregate percentage of Shares reported owned by each person named herein is based upon 23,863,701 Shares outstanding as of May 31, 2012, as reported in the Issuer’s Form 10-Q Quarterly Report for the period ended March 31, 2012 filed with the Securities and Exchange Commission on May 15, 2012.
As of the date hereof, Mr. Peracca beneficially owns 370,000 Shares held directly by him, which represents approximately 1.55 % of the outstanding Shares of the Issuer. Mr. Peracca may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Exchange Act, comprised of the Reporting Persons. By virtue of the Joint Filing and Voting Agreement discussed above, Mr. Peracca may be deemed to have power to vote an aggregate of 1,551,317 Shares, which represents approximately 6.5% of the outstanding Shares of the Issuer. Mr. Peracca holds sole power to dispose the 370,000 Shares held directly by him. Since the date of filing the Schedule 13D through the date of filing this Amendment No. 1, Mr. Peracca purchased an aggregate of 67,298 Shares on the open market at an average price of approximately $0.15 per share (excluding commissions).
As of the date hereof, Mr. Manuel beneficially owns 342,077 Shares held directly by him, which represents approximately 1.43% of the outstanding Shares of the Issuer. Mr. Manuel holds sole power to dispose the Shares held directly by him. Mr. Manuel may be deemed to be a member of a “group,” within the meaning of Section 13(d)(3) of the Exchange Act, comprised of the Reporting Persons. Shares listed as beneficially owned by Mr. Manuel exclude Shares held by any other Reporting Persons, as to which Mr. Manuel disclaims beneficial ownership. Since the date of filing the Schedule 13D through the date of filing this Amendment No. 1, Mr. Manuel purchased an aggregate of 207,049 Shares on the open market at an average price of approximately $0.20 per share (excluding commissions).
(c) Certain of the Reporting Persons engaged in transactions on the open market in the ordinary course of business during the past 60 days with respect to the Issuer’s Shares, as set forth on Schedule A, which is attached hereto and is incorporated herein by reference.
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CUSIP NO. 82936G 200 |
| Page 11 of 12 |
SIGNATURES
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: September 3, 2014
| /s/ ALAIN PERACCA |
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| ALAIN PERACCA |
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| LISMORE PARTNERS, LLC |
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| By: | /s/ ADAM WALDO |
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| ADAM WALDO |
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| /s/ CEFERINO NANG |
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| CEFERINO NANG |
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| /s/ GEORGE VLAHOS |
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| GEORGE VLAHOS |
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| /s/ REX MANUEL |
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| REX MANUEL |
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| /s/ JIM SUTTER |
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| JIM SUTTER |
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| /s/ DAVE PHAM |
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| DAVE PHAM |
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| /s/ PETER DE MEYER |
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| PETER DE MEYER |
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CUSIP NO. 82936G 200 |
| Page 12 of 12 |
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Schedule A
Transactions of the Reporting Persons Effected During the Past 60 Days
The following transactions were effected by Alain Peracca during the past sixty (60) days:
Date | Security | Amount of Shares | Approximate Price ($) |
7/7/2014 | Common Stock | 400 | $0.21 |
7/15/2014 | Common Stock | 200 | $0.20 |
7/25/2014 | Common Stock | 2,400 | $0.22 |
7/25/2014 | Common Stock | 700 | $0.20 |
8/13/2014 | Common Stock | 1,300 | $0.18 |
8/13/2014 | Common Stock | 3,000 | $0.18 |
The following transactions were effected by Rex Manuel during the past sixty (60) days:
Date | Security | Amount of Shares | Approximate Price ($) |
7/10/2014 | Common Stock | 3,090 | $0.20 |
7/15/2014 | Common Stock | 541 | $0.21 |
7/17/2014 | Common Stock | 450 | $0.21 |
7/18/2014 | Common Stock | 1,009 | $0.21 |
7/24/2014 | Common Stock | 2,500 | $0.21 |
7/29/2014 | Common Stock | 1,300 | $0.20 |
7/30/2014 | Common Stock | 2,200 | $0.20 |
8/19/2014 | Common Stock | 100,000 | $0.26 |