Synthesis Energy Systems, Inc.
SYNTHESIS ENERGY SYSTEMS INC (Form: SC 13G/A, Received: 02/14/2017 17:26:02)


 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
SCHEDULE 13G
 
 
Under the Securities Exchange Act of 1934
(Amendment No. 1 )*
 
Synthesis Energy Systems Inc.  

(Name of Issuer)
 
Common stock, par value $0.01 per share

(Title of Class of Securities)
 
871628103

(CUSIP Number)
 
Calendar Year 2016

(Date of Event Which Requires Filing of this Statement)
 
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
 
     x  Rule 13d-1(b)
 
     o  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.  871628103            
 
           
1   NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
  CREDIT SUISSE
000000000
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (a)   o
  (b)   x
     
3   SEC USE ONLY
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  Switzerland
       
NUMBER OF SHARES BENEFICIALLY  OWNED BY EACH REPORTING PERSON WITH:  5   SOLE VOTING POWER
   
  0
     
6   SHARED VOTING POWER
   
  6,269,968
     
7   SOLE DISPOSITIVE POWER
   
  0
     
8   SHARED DISPOSITIVE POWER
   
  6,269,968
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  6,269,968
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
   
  7.20%
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
   
  BK ,  HC
 

FOOTNOTES
   
 
 
 

 
 
Item 1.

 
(a)
Name of Issuer
 
 
Synthesis Energy Systems Inc.

 
(b)
Address of Issuer’s Principal Executive Offices
 
 
Three Riverway, Suite 300
Houston, TX 77056

Item 2.

 
(a)
Name of Person Filing
 
 
CREDIT SUISSE
See Schedule 99.1

 
(b)
Address of Principal Business Office or, if none, Residence
 
 
UETLIBERGSTRASSE 231
ZURICH V8 8070
0041 1 333 1227

 
(c)
Citizenship
 
 
Switzerland

 
(d)
Title of Class of Securities
 
 
Common stock, par value $0.01 per share

 
(e)
CUSIP Number
 
 
871628103

 
Item 3.
If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 
(a)
o
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

 
(b)
x
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

 
(c)
o
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

 
(d)
o
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).

 
(e)
o
An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

 
(f)
o
An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

 
(g)
x
A parent holding company or control person in accordance with § 240.13d-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 (15 U.S.C. 80a-3);

 
(j)
o
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J).

 
(k)
o
A group, in accordance with § 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution:

 
 
 

 
 
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.

 
(a)
Amount beneficially owned: 6,269,968

 
(b)
Percent of class: 7.20%

 
(c)
Number of shares as to which the person has:

 
(i)
Sole power to vote or to direct the vote: 0

 
(ii)
Shared power to vote or to direct the vote: 6,269,968

 
(iii)
Sole power to dispose or to direct the disposition of: 0

 
(iv)
Shared power to dispose or to direct the disposition of: 6,269,968

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 o .
 
N/A
 
Item 6.
Ownership of More than Five Percent on Behalf of Another Person.
 
N/A
 
Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company
 
See Schedule 99.1
 
Item 8.
Identification and Classification of Members of the Group
 
N/A
 
Item 9.
Notice of Dissolution of Group
 
N/A
 
 
 

 
 
 
Item 10.
Certification
   
By signing below I certify that, to the best of my 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, other than activities solely in connection with a nomination under §240.14a-11.
 
 

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.
 
 
  Credit Suisse
 
       
Date: February 14, 2017
By:
/s/  Robert Andric  
    Name: Robert Andric  
    Title:  Director  
       
 
Footnotes:

Attention:
Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)
 
 



In accordance with Securities and Exchange Commission Release No. 34-39538 (January 12, 1998), this Statement is being filed by Credit Suisse AG (the "Bank"), a Swiss bank, on behalf of its subsidiaries to the extent that they constitute the Global Markets division (“GM”), the Investment Banking & Capital Markets division (“IBCM”), the Strategic Resolution Unit (“SRU”), the Investment Banking business (the “APAC IB Business”) within the Asia Pacific division ( “APAC”), and the Alternative Investments business (the "AI Business") within the International Wealth Management division (“IWM”) (the "Reporting Person"). The address of the principal business and office of the Bank is Uetlibergstrasse 231, P.O. Box 900, CH 8070 Zurich, Switzerland. The address of the principal business and office of the Reporting Person in the United States is Eleven Madison Avenue, New York, New York 10010. The ultimate parent company of the Bank is Credit Suisse Group AG ("CSG"), a corporation formed under the laws of Switzerland. CSG is a global financial services company, active in all major financial centers and providing a comprehensive range of banking products.
 
The Bank is comprised of three regionally focused divisions: Swiss Universal Bank (“CHUB”), which offers comprehensive advice and a wide range of financial solutions to private, corporate and institutional clients domiciled in Switzerland, APAC, which offers integrated private banking and investment banking financial solutions to wealthy individuals, institutional investors and corporate clients in the Asia Pacific region, and IWM, which offers tailored private banking solutions to wealthy private clients and external asset managers in Europe, Latin America, the Middle East and Africa and includes the Bank’s global asset management franchise. Two other divisions—GM and IBCM—sit alongside these regional businesses. GM offers a broad range of equities and fixed income products and services and focuses on client-driven businesses and supporting IWM. IBCM offers a broad range of investment banking services to corporations, financial institutions, financial sponsors and ultra-high-net-worth individuals and sovereign clients, and also engages in debt and equity underwriting of public securities offerings and private placements . The Bank also includes SRU, which oversees the effective wind-down of the Bank’s portfolios that do not fit its strategic direction.

The business address of CSG is Paradeplatz 8, P.O. Box 1, CH 8070 Zurich, Switzerland. CSG, for purposes of the federal securities laws, may be deemed ultimately to control the Bank and the Reporting Person. CSG, its executive officers and directors, and its direct and indirect subsidiaries (including those subsidiaries that constitute CHUB, APAC (other than the APAC IB Business), and IWM (other than the AI Business)) may beneficially own securities to which this Statement relates (the "Shares") and such Shares are not reported in this Statement. CSG disclaims beneficial ownership of Shares beneficially owned by its direct and indirect subsidiaries, including the Reporting Person. CHUB, APAC (other than the APAC IB Business), and IWM (other than the AI Business) disclaim beneficial ownership of Shares beneficially owned by the Reporting Person. The Reporting Person disclaims beneficial ownership of Shares beneficially owned by CSG, CHUB, APAC (other than the APAC IB Business), and IWM (other than the AI Business).