- Statement of Ownership (SC 13G)
July 15 2009 - 12:32PM
Edgar (US Regulatory)
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
SCHEDULE
13G
Under the
Securities Exchange Act of 1934
(Amendment
No....)
Sino-Global
Shipping America, Ltd.
(Title of
Class of Securities)
Common
Stock
(CUSIP
Number)
82935W 10
9
(Date of
Event Which Requires Filing of this Statement)
June 30,
2009
Check the
appropriate box to designate the rule pursuant to which this Schedule is
filed:
o
Rule
13d-1(b)
x
Rule
13d-1(c)
o
Rule
13d-1(d)
*The
remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The
information required in 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).
CUSIP
No. 82935W 10 9
|
(1)
Names of reporting persons.
Daniel
E. Kern
|
(2)
Check the appropriate box if a member of a group (see
instructions)
(a)
(b)
|
(3)
SEC use only
|
(4)
Citizenship or place of organization
California
|
Number
of shares beneficially owned by each reporting person
with:
|
(5)
Sole voting power**
389,100
|
(6)
Shared voting power
|
(7)
Sole dispositive power**
389,100
|
(8)
Shared dispositive power
|
(9)
Aggregate amount beneficially owned by each reporting
person
389,100
|
(10)
Check if the aggregate amount in Row (9) excludes certain
shares (see instructions)
|
(11)
Percent of class represented by amount in Row
9
13.17%
|
(12)
Type of reporting person (see
instructions)
IN
|
Daniel E.
Kern owns 176,200 shares in his individual name, 187,900 shares in the Daniel E.
Kern ROTH IRA, and 25,000 shares through Kern Asset Management. Mr.
Kern maintains sole voting and dispositive power as to these
shares.
CUSIP
No. 82935W 10 9
|
(1)Names
of reporting persons.
Kern
Asset Management
|
(2)
Check the appropriate box if a member of a group (see
instructions)
(a)
(b)
|
(3)
SEC use only
|
(4)
Citizenship or place of organization
California
|
Number
of shares beneficially owned by each reporting person
with:
|
(5)Sole
voting power**
389,100
|
(6)Shared
voting power
|
(7)Sole
dispositive power**
389,100
|
(8)Shared
dispositive power
|
(9)Aggregate
amount beneficially owned by each reporting person
389,100
|
(10)Check
if the aggregate amount in Row (9) excludes certain shares (see
instructions)
|
(11)Percent
of class represented by amount in Row 9
13.17%
|
(12)Type
of reporting person (see instructions)
IN
|
Daniel E.
Kern owns 176,200 shares in his individual name, 187,900 shares in the Daniel E.
Kern ROTH IRA, and 25,000 shares through Kern Asset Management. Mr.
Kern maintains sole voting and dispositive power as to these
shares.
Item
1.
Item 1(a) Name of issuer:
|
Sino-Global
Shipping America, Ltd.
|
Item 1(b) Address of issuer's principal executive
offices:
|
36-09
Main Street
|
|
Suite
9C-2
|
|
Flushing,
NY 11354
|
Item 2.
2(a) Name of person filing:
|
This
statement is filed by Daniel E. Kern and Kern Asset
Management.
|
2(b) Address or principal business office or, if none,
residence:
|
1027
Goldenrod Ave
|
|
Corona
Del Mar, CA 92625
|
2(c) Citizenship:
|
California
|
2(d) Title of class of securities:
|
Common
Stock, without par value per share
|
2(e) CUSIP No.:
|
82935W
10 9
|
Item
3.
If this
statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether
the person filing is a:
|
a.
|
o
Broker or dealer
registered under Section 15 of the
Act.
|
|
b.
|
o
Bank as defined
in Section 3(a)(6) of the Act.
|
|
c.
|
o
Insurance company
as defined in Section 3(a)(19) of the
Act.
|
|
d.
|
o
Investment
company registered under Section 8 of the Investment Company Act of
1940.
|
|
e.
|
o
An investment
adviser in accordance with Rule
13d-1(b)(1)(ii)(E);
|
|
f.
|
o
An employee
benefit plan or endowment fund in accordance with Rule
13d-1(b)(1)(ii)(F);
|
|
g.
|
o
A parent holding
company or control person in accordance with Rule
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;
|
|
j.
|
o
Group, in
accordance with Rule
13d-1(b)(1)(ii)(J).
|
Item 4.
Ownership
Provide
the following information regarding the aggregate number and percentage of the
class of securities of the issuer identified in Item 1.
The
information required by Items 4(a) – (c) is set forth in Rows 5 – 11 of the
cover page for the Reporting Person hereto and is incorporated by reference for
the Reporting Person.
Item 5.
Ownership
of 5 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 5 percent of the class of securities, check the
following [ ].
Item 6
. Ownership of More than
5 Percent on Behalf of Another Person
If any
other person is known to have the right to receive or the power to direct the
receipt of dividends from, or the proceeds from the sale of, such securities, a
statement to that effect should be included in response to this item and, if
such interest relates to more than 5 percent of the class, such person should be
identified. A listing of the shareholders of an investment company registered
under the Investment Company Act of 1940 or the beneficiaries of employee
benefit plan, pension fund or endowment fund is not required.
Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security
Being Reported on by the Parent Holding Company or Control
Person.
If a
parent holding company or control person has filed this schedule pursuant to
Rule 13d-1(b)(1)(ii)(G), so indicate under Item 3(g) and attach an exhibit
stating the identity and the Item 3 classification of the relevant subsidiary.
If a parent holding company or control person has filed this schedule pursuant
to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identification
of the relevant subsidiary.
Item 8.
Identification and Classification of Members of the Group
If a
group has filed this schedule pursuant to Rule 13d-1(b)(ii)(J), so indicate
under Item 3(j) and attach an exhibit stating the identity and Item 3
classification of each member of the group. If a group has filed this schedule
pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the
identity of each member of the group.
Item 9.
Notice of Dissolution of Group
Notice of
dissolution of a group may be furnished as an exhibit stating the date of the
dissolution and that all further filings with respect to transactions in the
security reported on will be filed, if required, by members of the group, in
their individual capacity. See Item 5.
Item 10.
Certifications
|
|
The
following certification shall be included if the statement is filed
pursuant to Rule 13d-1(c):
|
By
signing below I certify that, to the best of my knowledge and belief, the
securities referred to above 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, I certify that
the information set forth in this statement is true, complete and
correct.
Dated as
of July 10, 2009
Signature
|
|
/s/ Daniel E. Kern
|
|
Name/Title
|
|
Daniel
E. Kern
|
|
|
|
Individual
|
|
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 as
of July 10, 2009
|
|
Kern
Asset Management
|
|
|
|
|
|
|
|
|
|
|
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Signature
|
|
By:
|
/s/ Daniel E. Kern
|
|
Name/Title
|
|
Name:
|
Daniel
E. Kern
|
|
|
|
Its:
|
President
|
|
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