Oriental Moon Tree Amends Garden Stage Filing

TL;DR

Oriental Moon Tree updated its Garden Stage filing on 10/11/24. Watch for ownership changes.

AI Summary

Oriental Moon Tree Limited, through Director Lau Kam Yan Karen, has filed an amendment (No. 1) to its Schedule 13D for Garden Stage Ltd. The filing, dated October 11, 2024, indicates a change in beneficial ownership, though specific share counts or dollar amounts are not detailed in this excerpt. The company's principal business is listed as Security & Commodity Brokers, Dealers, Exchanges & Services.

Why It Matters

This amendment signals a potential shift in control or significant stake changes for Garden Stage Ltd., which could impact its stock price and future strategic direction.

Risk Assessment

Risk Level: medium — Amendments to Schedule 13D often indicate significant changes in beneficial ownership, which can lead to increased volatility and uncertainty.

Key Players & Entities

• Oriental Moon Tree Limited (company) — Filing entity
• Garden Stage Ltd (company) — Subject company
• Lau Kam Yan Karen (person) — Director and filer representative

FAQ

Filing Documents

• ea0217431-13da1orient_garden.htm (SC 13D/A) — 74KB
• 0001213900-24-087133.txt ( ) — 76KB

From the Filing

SC 13D/A 1 ea0217431-13da1orient_garden.htm AMENDMENT NO. 1 TO SCHEDULE 13D UNITED SECURITIES AND EXCHANGE COMMISSION, Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Garden Stage Limited (Name of Issuer) Common Stock (Title of Class of Securities) G3730L107 (CUSIP Number) LAU KAM YAN KAREN Director Oriental Moon Tree Limited 30th Floor, China Insurance Group Building, 141 Des Voeux Road Central Central, HONG KONG 852-2688-6333 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) 2024-09-20 (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 is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. * 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 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). CUSIP No. G3730L107 (1) Names of reporting persons Oriental Moon Tree Limited (2) Check the appropriate box if a member of a group (see instructions) (a) (b) (3) SEC use only (4) Source of funds (see instructions) AF (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) (6) Citizenship or place of organization British Virgin Islands Number of shares beneficially owned by each reporting person with: (7) Sole voting power 11,000,000 (8) Shared voting power (9) Sole dispositive power 11,000,000 (10) Shared dispositive power (11) Aggregate amount beneficially owned by each reporting person 11,000,000 (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions) (13) Percent of class represented by amount in Row (11) 70.4% 1 (14) Type of reporting person (see instructions) HC 1 Based on 15,625,000 outstanding shares of Common Stock reported in the Issuer’s prospectus on Form 424B3 filed with the Securities and Exchange Commission on August 28, 2024. 2 ITEM 1. SECURITY AND ISSUER. Name of Issuer: Garden Stage Limited Address of Issuer’s Principal Executive Offices: 30th Floor, China Insurance Group Building, 141 Des Voeux Road Central Central, HONG KONG ITEM 2. IDENTITY AND BACKGROUND. (a) Name; Oriental Moon Tree Limited (b) Residence or business address; 30th Floor, China Insurance Group Building, 141 Des Voeux Road Central Central, HONG KONG (c) Present principal occupation or employment; Holding company (d) Criminal Convictions: No (e) Civil Proceedings: No (f) Citizenship/State of Incorporation/Organization: British Virgin Islands ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G). ITEM 4. PURPOSE OF TRANSACTION. Oriental Moon Tree Limited intends to continuously review its investment in the Issuer, and may in the future take such actions with respect to its investment in the Issuer as it deems appropriate: (a) The acquisition by any person of additional securities of the issuer, or the disposition of securities of the issuer As of the date of this Schedule 13D, except as set forth in this Schedule 13D above, Oriental Moon Tree Limited does not have any plans or proposals which would result in: (b) An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the issuer or any of its subsidiaries; (c) A sale or transfer of a material amount of assets of the issuer or any of its subsidiaries; (d) Any change in the present board of directors or management of the issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board; (e) Any material change in the present capitalization or dividend policy of the issuer; (f) Any other material change in the issuer's business or corporate structure, including but not limited to, if the issuer is a registered closed-end investment company, any plans or proposals to make any changes in its investment policy for which a vote is required by section 13 of the Investment Company Act of 1940; (g) Changes in the issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the issuer by any

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View this SC 13D/A filing on SEC EDGAR