4/A//SEC Filing
KAPLAN DAFNA 4/A
Accession 0001193805-03-001113
CIK 0000933157other
Filed
Nov 20, 7:00 PM ET
Accepted
Nov 21, 5:01 PM ET
Size
20.7 KB
Accession
0001193805-03-001113
Insider Transaction Report
Form 4/AAmended
KAPLAN THOMAS SCOTT
10% Owner
Transactions
- Exercise of In-Money
Warrants to purchase Common Stock
2002-10-23−723,334→ 0 total(indirect: Through Electrum)Exercise: $0.30From: 2002-04-15Exp: 2007-04-15→ Common Stock (723,334 underlying) - Exercise of In-Money
Common Stock, par value $0.01 per share
2002-10-23$0.30/sh+723,334$217,000→ 1,446,668 total(indirect: Through Electrum) - Sale
Common Stock, par value $0.01 per share
2002-10-23$1.85/sh−29,189$54,000→ 480,811 total(indirect: Through Resources) - Exercise of In-Money
Warrants to purchase Common Stock
2002-10-23−180,000→ 0 total(indirect: Through Resources)Exercise: $0.30From: 2002-04-15Exp: 2007-04-15→ Common Stock (180,000 underlying) - Sale
Common Stock, par value $0.01 per share
2002-10-23$1.85/sh−117,298$217,001→ 1,329,370 total(indirect: Through Electrum) - Exercise of In-Money
Common Stock, par value $0.01 per share
2002-10-23$0.30/sh+180,000$54,000→ 510,000 total(indirect: Through Resources)
KAPLAN DAFNA
10% Owner
Transactions
- Sale
Common Stock, par value $0.01 per share
2002-10-23$1.85/sh−29,189$54,000→ 480,811 total(indirect: Through Resources) - Exercise of In-Money
Warrants to purchase Common Stock
2002-10-23−723,334→ 0 total(indirect: Through Electrum)Exercise: $0.30From: 2002-04-15Exp: 2007-04-15→ Common Stock (723,334 underlying) - Sale
Common Stock, par value $0.01 per share
2002-10-23$1.85/sh−117,298$217,001→ 1,329,370 total(indirect: Through Electrum) - Exercise of In-Money
Common Stock, par value $0.01 per share
2002-10-23$0.30/sh+180,000$54,000→ 510,000 total(indirect: Through Resources) - Exercise of In-Money
Warrants to purchase Common Stock
2002-10-23−180,000→ 0 total(indirect: Through Resources)Exercise: $0.30From: 2002-04-15Exp: 2007-04-15→ Common Stock (180,000 underlying) - Exercise of In-Money
Common Stock, par value $0.01 per share
2002-10-23$0.30/sh+723,334$217,000→ 1,446,668 total(indirect: Through Electrum)
Footnotes (4)
- [F1]This amended Form 4 is being filed to amend the Form 4 filed November 13, 2002 by Thomas S. Kaplan, by adding Dafna Kaplan, Mr. Kaplan's wife, as a reporting person and reporting transactions involving shares of Common Stock of the Company held indirectly by Mrs. Kaplan. As a result of Mrs. Kaplan's possession of voting and dispositive power over shares of the issuer held by LCM Holdings LDC ("LCM") on the date indicated in Item 2 above, Mrs. Kaplan may have been deemed a member of a "group" for purposes of Section 13(d) of the Exchange Act with Mr. Kaplan as of the date indicated in Item 2 above. Due to the nature of the amendments to the November 13, 2002 Form 4, the Reporting Persons deemed it advisable to amend and restate this Form 4 in its entirety.
- [F2]These securities are held through Electrum Capital LLC. Mr. Kaplan has sole voting and dispositive power over such securities. Each reporting person disclaims beneficial ownership over such securities for purposes of section 16 of the Exchange Act, except to the extent of their respective beneficial ownership over such securities as determined pursuant to Rule 16a-1(a)(2) of the Exchange Act.
- [F3]These securities are held through LCM. As of the date indicated in Item 2 above, Mrs. Kaplan had sole voting and dispositive power over such securities. Each reporting person disclaims beneficial ownership over such securities for purposes of section 16 of the Exchange Act, except to the extent of their respective beneficial ownership over such securities as determined pursuant to Rule 16a-1(a)(2) of the Exchange Act.
- [F4]These securities are held through Electrum Resources LLC. Mr. Kaplan has sole voting and dispositive power over such securities. Each reporting person disclaims beneficial ownership over such securities for purposes of section 16 of the Exchange Act, except to the extent of their respective beneficial ownership over such sercurities as determined pursuant to Rule 16a-1(a)(2) of the Exchange Act.
Documents
Issuer
CADENCE RESOURCES CORP
CIK 0000933157
Entity typeother
Related Parties
1- filerCIK 0001270707
Filing Metadata
- Form type
- 4/A
- Filed
- Nov 20, 7:00 PM ET
- Accepted
- Nov 21, 5:01 PM ET
- Size
- 20.7 KB