EMXX_13g_a5.htm

联合国家
证券交易委员会
华盛顿特区20549

附表 13G
根据1934“证券交易法”

(第5号修正案)*

 

 

EMX皇家公司

(签发人姓名)

普通股,每股面值0.001美元

(证券类别名称)

29843R100

(CUSIP 号)

2017年月31

( 要求提交本陈述的事件日期)

选中适当的框, 指定存档本附表所依据的规则:

ý第13d-1(B)条

¨第13d-1(C)条

¨第13d条-1(D)条

*本封面页的 其余部分应填写,以供报告 人在本表格上就证券的主题类别 首次提交,以及其后任何包含信息 的修正,其中载有信息 ,这将改变上一页所提供的披露。

本封面其余部分所要求的 信息不得视为为1934“证券交易法”(“法案”)第18节的目的而“存档”,或以其他方式受该法该部分的责任约束,但应受“证券交易法”所有其他规定的约束(不过,见“说明”)。


 

(1)

举报人员姓名。

斯蒂芬斯投资管理有限责任公司

(2)

如果是 组的成员,请检查适当的框(见说明)

(a)     ¨

(b)     ¨

(3)

证券交易委员会只使用

(4)

公民身份或组织地点

特拉华州

数目

股份

受益

由每个人拥有

报告

有...人

(5)

唯一投票权

5,043,219

(6)

共享投票权

0

(7)

唯一分辨力

5,043,219

(8)

共享分配权

0

(9)

每一报告人实益拥有的合计金额

15,549,793

(10)

检查行(9)中的总 金额是否排除某些股票(见说明)

¨

(11)

以 行表示的类别百分比(9)

19.50%

(12)

报告人的类型(见说明)

乌奥







 

2


 

(1)

举报人员姓名。

保罗·斯蒂芬斯

(2)

如果是 组的成员,请检查适当的框(见说明)

(a)     ¨

(b)     ¨

(3)

证券交易委员会只使用

(4)

公民身份或组织地点

联合国家

数目

股份

受益

由每个人拥有

报告

有...人

(5)

唯一投票权

10,415,272

(6)

共享投票权

5,043,219

(7)

唯一分辨力

10,415,272

(8)

共享分配权

5,043,219

(9)

每一报告人实益拥有的合计金额

15,549,793

(10)

检查行(9)中的总 金额是否排除某些股票(见说明)

¨

(11)

以 行表示的类别百分比(9)

19.50%

(12)

报告人的类型(见说明)









 

3


 

(1)

举报人员姓名。

巴特利特·斯蒂芬斯

(2)

如果是 组的成员,请检查适当的框(见说明)

(a)     ¨

(b)     ¨

(3)

证券交易委员会只使用

(4)

公民身份或组织地点

联合国家

数目

股份

受益

由每个人拥有

报告

有...人

(5)

唯一投票权

45,651

(6)

共享投票权

5,043,219

(7)

唯一分辨力

45,651

(8)

共享分配权

5,043,219

(9)

每一报告人实益拥有的合计金额

15,549,793

(10)

检查行(9)中的总 金额是否排除某些股票(见说明)

¨

(11)

(I)根据“1940投资公司法”第3(C)(14)节(15 U.S.C. 80A-3),不列入投资公司定义的教会计划;

19.50%

(12)

(J)群,根据§240.13d-1(B)(1)(2)(J)

项目 4.所有权。









 

4


 

(1)

现参考本附表第2-5页第5-9及11项,以参考本附表第2至5页内以参考方式合并的项目 。

与本附表有关的证券(“证券”)由某些投资有限合伙公司(SIM担任一般合伙人和投资经理)所拥有。SIM作为这些投资有限合伙公司的普通合伙人和投资经理,以及Paul Stephens、Brad Stephens和Bart Stephens,作为SIM的管理成员和所有者,可被视为有权拥有这种投资有限合伙公司所拥有的证券 13d-3,以“证券交易法”第13d-3条规则的目的。1934,经修正(“法案”),只要它们可被视为有权指示这些证券的表决或处置。

(2)

本附表的提交或其任何内容的提交,均不得视为构成承认SIM、Paul Stephens、Brad Stephens或Bart Stephens就任何其他目的而言是任何 证券的实益拥有人,而SIM、Paul Stephens、Brad Stephens和Bart Stephens中的每一人均否认与证券一样的实益所有权,但 他或其金钱利益的范围除外。

(a)     ¨

(b)     ¨

(3)

根据该法第13d-3条规则中“实益所有权”的定义, 还可能使上述实体的个别普通合伙人、执行官员、 和成员被视为部分或全部证券的“受益 所有人”,只要他们可被视为分享权力,指导 证券的表决或处置。本附表及其任何 内容的提交均不得被视为构成该证券的“受益所有人”。承认任何这样的 个人在任何目的上都是任何 证券的实益所有人的承认,这种实益所有权被明确拒绝。

(4)

第2页 -5第11项中实益所有权百分比的 计算是从颁发者的 网站上得出的,该网站指出,截至2018年月2日,其普通股 未发行的股份数目为79,725,187股。

项目 5.拥有 类的百分之五或更少

如提交本陈述书是为了报告截至本报告日期,报案人已不再是

拥有超过5%的证券类别,请检查以下内容

&nbsp和nbsp

项目 6.代表他人拥有超过5%的所有权。

(5)

项目 7. 的识别和分类 获得证券的子公司由 母公司报告

45,651

(6)

不适用。

5,043,219

(7)

项目 8.小组成员的识别和分类

45,651

(8)

不适用。

5,043,219

(9)

项目 9.集团解散通知

15,549,793

(10)

不适用。

¨

(11)

项目 10.认证

19.50%

(12)

签名









 

5


 

经过合理的询问,并尽我所知和所信,下面的签名人证明本声明中所列的信息是真实、完整和正确的。

日期:2018.02月14日

斯蒂芬斯投资管理有限责任公司

通过:

/S/W.Bradford Stephens

W.Bradford Stephens

管理成员

s/Paul H.Stephens

保罗·斯蒂芬斯

/S/P.Bartlett Stephens

P.Bartlett Stephens

/S/W.Bradford Stephens

W.Bradford Stephens

显示 索引

证物 ---联合申报---承诺第9页

证物A

29843R100

联合申报业务

¨以下签署人获授权,现签立本协议 作为本附表13G的证物,以证明下列指定各方按照根据1934“证券交易法”颁布的规则,代表每一该等各方共同提交本附表(可予修订)。

¨日期:2018.02月14日

¨斯蒂芬斯投资管理有限责任公司

¨通过:

¨/S/W.Bradford Stephens

¨W.Bradford Stephens

¨管理成员

6


 

¨s/Paul H.Stephens

¨保罗·斯蒂芬斯

¨/S/P.Bartlett Stephens

P.Bartlett Stephens

/S/W.Bradford Stephens

W.Bradford Stephens

Neither the filing of this Schedule nor any of its contents shall be deemed to constitute an admission that SIM, Paul Stephens, Brad Stephens or Bart Stephens is, for any other purpose, the beneficial owner of any of the Securities, and each of SIM, Paul Stephens, Brad Stephens and Bart Stephens disclaims beneficial ownership as to the Securities, except to the extent of his or its pecuniary interests therein. 

Under the definition of “beneficial ownership” in Rule 13d-3 under the Act, it is also possible that the individual general partners, executive officers, and members of the foregoing entities might be deemed the “beneficial owners” of some or all of the Securities insofar as they may be deemed to share the power to direct the voting or disposition of the Securities.  Neither the filing of this Schedule nor any of its contents shall be deemed to constitute an admission that any of such individuals is, for any purpose, the beneficial owner of any of the Securities, and such beneficial ownership is expressly disclaimed.

The calculation of percentage of beneficial ownership in item 11 of pages 2 - 5 was derived from the Issuer’s website in which the Issuer stated that the number of shares of its common stock outstanding as of January 2, 2018 was 79,725,187 shares. 

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  [&nbsp&nbsp].

Item 6.      Ownership of More than Five Percent on Behalf of Another Person.

SIM serves as general partner and investment manager to certain investment limited partnerships that have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the Securities.  Other than as reported in this Schedule, no investment limited partnership’s holdings exceed five percent of the Issuer’s common stock.

Item 7.      Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company

Not Applicable.

7


 

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 the undersigned certify that, to the best of their knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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.

Signature

After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.

Dated:  February 14, 2018

STEPHENS INVESTMENT MANAGEMENT, LLC

 

 

By:    /s/ W. Bradford Stephens

W. Bradford Stephens

Its Managing Member

 

 

 

/s/ Paul H. Stephens

Paul H. Stephens

 

 

 

/s/ P. Bartlett Stephens

P. Bartlett Stephens

 

 

 

/s/ W. Bradford Stephens

W. Bradford Stephens

 

 

 

EXHIBIT INDEX

Exhibit A          Joint Filing Undertaking          Page 9

8


EXHIBIT A

JOINT FILING UNDERTAKING

The undersigned, being authorized thereunto, hereby execute this agreement as an exhibit to this Schedule 13G to evidence the agreement of the below-named parties, in accordance with rules promulgated pursuant to the Securities Exchange Act of 1934, to file this Schedule, as it may be amended, jointly on behalf of each of such parties.

Dated:  February 14, 2018

STEPHENS INVESTMENT MANAGEMENT, LLC

 

 

By:    /s/ W. Bradford Stephens

W. Bradford Stephens

Its Managing Member

 

 

 

/s/ Paul H. Stephens

Paul H. Stephens

 

 

 

/s/ P. Bartlett Stephens

P. Bartlett Stephens

 

 

 

/s/ W. Bradford Stephens

W. Bradford Stephens

 

9