RCON [Recon Technology] SC 13G/A:

Ticker: RCON, Company: Recon Technology, Ltd, Type: SC 13G/A, Date: 2019-01-10
Original SEC Filing: Click here


Webplus: RCON/20190110/SC_13G.A/1/000.htm SEC Original: p19-0042sc13ga.htm



s:10743:" SC 13G/A 1 p19-0042sc13ga.htm RECON TECHNOLOGY, LTD.

NAMES OF REPORTING PERSONS

Empery Asset Management, LP

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)¨

(b)¨

3 SEC USE ONLY
4

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
5

SOLE VOTING POWER

6

SHARED VOTING POWER

0 Ordinary Shares

7

SOLE DISPOSITIVE POWER

8

SHARED DISPOSITIVE POWER

0 Ordinary Shares

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

0 Ordinary Shares

10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

0% (See Item 4)

12

TYPE OF REPORTING PERSON

PN

 CUSIP No.  G7415M108  13G Page 3 of 6 Pages

1

NAMES OF REPORTING PERSONS

Ryan M. Lane

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)¨

(b)¨

3 SEC USE ONLY
4

CITIZENSHIP OR PLACE OF ORGANIZATION

United States

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
5

SOLE VOTING POWER

6

SHARED VOTING POWER

0 Ordinary Shares

7

SOLE DISPOSITIVE POWER

8

SHARED DISPOSITIVE POWER

0 Ordinary Shares

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

0 Ordinary Shares

10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

0% (See Item 4)

12

TYPE OF REPORTING PERSON

IN

 CUSIP No.  G7415M108  13G Page 4 of 6 Pages

1

NAMES OF REPORTING PERSONS

Martin D. Hoe

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)¨

(b)¨

3 SEC USE ONLY
4

CITIZENSHIP OR PLACE OF ORGANIZATION

United States

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
5

SOLE VOTING POWER

6

SHARED VOTING POWER

0 Ordinary Shares

7

SOLE DISPOSITIVE POWER

8

SHARED DISPOSITIVE POWER

0 Ordinary Shares

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

0 Ordinary Shares

10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

0% (See Item 4)

12

TYPE OF REPORTING PERSON

IN

 CUSIP No.  G7415M108  13G Page 5 of 6 Pages

This Amendment No. 1 (this "Amendment") amends the statement on Schedule 13G filed on January 26, 2018 (the "Original Schedule 13G", as amended, the "Schedule 13G"), with respect to Ordinary Shares, $0.0185 par value (the "Ordinary Shares") of Recon Technology, Ltd. (the "Company"). Capitalized terms used herein and not otherwise defined in this Amendment have the meanings set forth in the Schedule 13G. This Amendment amends and restates Items 4 and 5 in their entirety as set forth below.

Item 4. OWNERSHIP.

The information as of the date of the event which requires filing of this statement required by Items 4(a) – (c) is set forth in Rows 5 – 11 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person. The percentage set forth in Row 11 of the cover page for each Reporting Person is based on 20,940,633 Ordinary Shares issued and outstanding as of December 20, 2018, as represented in the Company’s Registration Statement on Form S-8 filed with the Securities and Exchange Commission on December 20, 2018.

The Investment Manager, which serves as the investment manager to the Empery Funds, may be deemed to be the beneficial owner of all Ordinary Shares held by the Empery Funds.  Each of the Reporting Individuals, as Managing Members of the General Partner of the Investment Manager with the power to exercise investment discretion, may be deemed to be the beneficial owner of all Ordinary Shares held by the Empery Funds.  The foregoing should not be construed in and of itself as an admission by any Reporting Person as to beneficial ownership of Ordinary Shares owned by another Reporting Person.  Each of the Empery Funds and the Reporting Individuals hereby disclaims any beneficial ownership of any such Ordinary 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: [X]

 CUSIP No.  G7415M108  13G Page 6 of 6 Pages

SIGNATURES

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

DATED: January 10, 2019

EMPERY ASSET MANAGEMENT, LP
By: EMPERY AM GP, LLC, its General Partner
By:/s/ Ryan M. Lane
Name:  Ryan M. Lane
Title:  Managing Member
/s/ Ryan M. Lane
Ryan M. Lane
/s/ Martin D. Hoe
Martin D. Hoe

";

Company Info:

Ticker: RCON, Company: Recon Technology, Ltd, Type: SC 13G/A, Date: 2019-01-10CIK: 0001442620, Location: F4, SIC: 1389, SIC Desc: OIL, GAS FIELD SERVICES, NBC
Business Phone & Address:
ROOM 1902, BUILDING C,, KING LONG INTL MANSION, NO. 9 FULIN ROAD
BEIJING 100107

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