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KAPLAN DAFNA 5

Accession 0001193805-03-001115

CIK 0001115954other
View on SEC.govCompany Profile

Filed

Nov 20, 7:00 PM ET

Accepted

Nov 21, 5:03 PM ET

Size

39.1 KB

Accession

0001193805-03-001115

Insider Transaction Report

Form 5
Period: 2003-09-30
TREND MINING COTRDM
KAPLAN THOMAS SCOTT
10% Owner
Transactions
  • Other

    Warrant

    2002-05-07+60,000→ 179,445 total(indirect: Through LCM)
    Exercise: $1.00From: 2002-05-07Exp: 2007-01-30→ Common Stock (60,000 underlying)
  • Sale

    Common Stock, par value $0.01 per share

    2001-10-17$0.68/sh−180,000$122,994→ 710,174 total(indirect: Through LCM)
  • Other

    Warrant

    2002-01-30−119,445→ 0 total(indirect: Through LCM)
    Exercise: $1.50From: 2002-01-30Exp: 2004-01-09→ Common Stock (119,445 underlying)
  • Other

    Debt Convertible into Common Stock and Warrants

    2002-05-07→ 717,780 total(indirect: Through LCM)
    Exercise: $0.50From: 2002-05-07→ Common Stock (240,000 underlying)
  • Other

    Debt Convertible into Common Stock and Warrants

    2002-01-30→ 0 total(indirect: Through LCM)
    Exercise: $1.25From: 2002-01-30→ Common Stock (0 underlying)
  • Other

    Debt Convertible into Common Stock and Warrants

    2002-05-22→ 857,780 total(indirect: Through LCM)
    Exercise: $0.50From: 2002-05-22→ Common Stock (140,000 underlying)
  • Other

    Warrant

    2002-05-22+35,000→ 214,445 total(indirect: Through LCM)
    Exercise: $1.00From: 2002-05-22Exp: 2007-01-30→ Common Stock (35,000 underlying)
  • Other

    Debt Convertible into Common Stock and Warrants

    2002-06-18→ 931,432 total(indirect: Through LCM)
    Exercise: $0.50From: 2002-06-18→ Common Stock (73,652 underlying)
  • Sale

    Common Stock, par value $0.01 per share

    2002-05-03$0.64/sh−180,000$115,200→ 530,174 total(indirect: Through LCM)
  • Other

    Warrant

    2002-06-18+18,413→ 232,858 total(indirect: Through LCM)
    Exercise: $1.00From: 2002-06-18Exp: 2007-01-30→ Common Stock (18,413 underlying)
  • Sale

    Warrant

    2001-10-26−250,000→ 6,529,761 total(indirect: Through Electrum)
    Exercise: $0.40From: 2001-10-26Exp: 2006-09-30→ Common Stock (250,000 underlying)
  • Other

    Warrant

    2001-10-26+119,445→ 119,445 total(indirect: Through LCM)
    Exercise: $1.50From: 2001-10-26Exp: 2004-01-09→ Common Stock (119,445 underlying)
  • Other

    Debt Convertible into Common Stock and Warrants

    2001-10-26→ 191,112 total(indirect: Through LCM)
    Exercise: $1.25From: 2001-10-26→ Common Stock (191,112 underlying)
Holdings

  • Common Stock, par value $0.01 per share

    (indirect: Through LCM)
    890,174
KAPLAN DAFNA
10% Owner
Transactions
  • Other

    Debt Convertible into Common Stock and Warrants

    2002-01-30→ 0 total(indirect: Through LCM)
    Exercise: $1.25From: 2002-01-30→ Common Stock (0 underlying)
  • Sale

    Warrant

    2001-10-26−250,000→ 6,529,761 total(indirect: Through Electrum)
    Exercise: $0.40From: 2001-10-26Exp: 2006-09-30→ Common Stock (250,000 underlying)
  • Other

    Warrant

    2001-10-26+119,445→ 119,445 total(indirect: Through LCM)
    Exercise: $1.50From: 2001-10-26Exp: 2004-01-09→ Common Stock (119,445 underlying)
  • Other

    Warrant

    2002-05-07+60,000→ 179,445 total(indirect: Through LCM)
    Exercise: $1.00From: 2002-05-07Exp: 2007-01-30→ Common Stock (60,000 underlying)
  • Other

    Debt Convertible into Common Stock and Warrants

    2002-05-22→ 857,780 total(indirect: Through LCM)
    Exercise: $0.50From: 2002-05-22→ Common Stock (140,000 underlying)
  • Other

    Warrant

    2002-05-22+35,000→ 214,445 total(indirect: Through LCM)
    Exercise: $1.00From: 2002-05-22Exp: 2007-01-30→ Common Stock (35,000 underlying)
  • Sale

    Common Stock, par value $0.01 per share

    2001-10-17$0.68/sh−180,000$122,994→ 710,174 total(indirect: Through LCM)
  • Sale

    Common Stock, par value $0.01 per share

    2002-05-03$0.64/sh−180,000$115,200→ 530,174 total(indirect: Through LCM)
  • Other

    Debt Convertible into Common Stock and Warrants

    2001-10-26→ 191,112 total(indirect: Through LCM)
    Exercise: $1.25From: 2001-10-26→ Common Stock (191,112 underlying)
  • Other

    Warrant

    2002-01-30−119,445→ 0 total(indirect: Through LCM)
    Exercise: $1.50From: 2002-01-30Exp: 2004-01-09→ Common Stock (119,445 underlying)
  • Other

    Debt Convertible into Common Stock and Warrants

    2002-05-07→ 717,780 total(indirect: Through LCM)
    Exercise: $0.50From: 2002-05-07→ Common Stock (240,000 underlying)
  • Other

    Debt Convertible into Common Stock and Warrants

    2002-06-18→ 931,432 total(indirect: Through LCM)
    Exercise: $0.50From: 2002-06-18→ Common Stock (73,652 underlying)
  • Other

    Warrant

    2002-06-18+18,413→ 232,858 total(indirect: Through LCM)
    Exercise: $1.00From: 2002-06-18Exp: 2007-01-30→ Common Stock (18,413 underlying)
Holdings

  • Common Stock, par value $0.01 per share

    (indirect: Through LCM)
    890,174
Footnotes (9)
  • [F1]This Form 5 is being filed by Thomas S. Kaplan and Dafna Kaplan, Mr. Kaplan's wife, to report holdings of and transactions involving shares of Common Stock of the Issuer 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") from September 22, 2000 until August 27, 2003, Mrs. Kaplan may have been deemed a member of a "group" for purposes of Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") with Mr. Kaplan during such period. This Form 5 also reports transactions previously unreported through Electrum LLC ("Electrum").
  • [F2]These securities are held through LCM. Until August 27, 2003, Mrs. Kaplan had sole voting and dispositive power over such securities. On such date, Mr. Kaplan and LCM entered into a voting trust agreement, pursuant to which Mr. Kaplan now holds 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 his/her respective beneficial ownership of such securities as determined pursuant to Rule 16a-1(a)(2) promulgated thereunder.
  • [F3]Electrum disposed of warrants to purchase shares of Common Stock to a third party in exchange for advisory services rendered.
  • [F4]These securities are held through Electrum. Each reporting person herein disclaims beneficial ownership over such securities for purposes of Section 16 of the Exchange Act, except to the extent of his/her beneficial ownership of such securities as determined pursuant to Rule 16a-1(a)(2) promulgated thereunder.
  • [F5]On October 26, 2001, LCM loaned the Issuer $119,445 and was issued an 8% convertible promissory note (the "October Note") in the principal amount of $119,445. LCM had the right to convert outstanding principal and unpaid interest on the October Note into "units" at the rate of one unit per $1.25 in principal and interest so converted. Each unit consisted of one share of Common Stock and a warrant to purchase one share of Common Stock at an exercise price of $1.50. In connection with the October Note, LCM also received 119,445 Common Stock purchase warrants (the "LCM Warrants") with an exercise price of $1.50, exercisable until January 9, 2004.
  • [F6]In lieu of the payment of $2,129 in accrued interest under the October Note on January 30, 2002, (i) the exercise price of the LCM Warrants was reduced to $1.00 and (ii) the conversion price of the October Note was reduced to $0.50 per unit.
  • [F7]Represents convertible notes issued to LCM evidencing amounts loaned to the Issuer. Outstanding principal and accrued interest under such notes are convertible by LCM into "units" at a rate of one unit per $0.50 in principal and interest so converted. Each unit consists of one share of Common Stock and a warrant to purchase one share of Common Stock at an exercise price of $1.00.
  • [F8]Represents the aggregate number of shares of common stock issuable assuming conversion of the convertible debt and exercise of the warrants issuable upon conversion. Does not include amounts issuable upon conversion of unpaid interest on the convertible debt.
  • [F9]Represents Common Stock purchase warrants issued in connection with the loans described in footnote 7 above.

Documents

2 files

Issuer

TREND MINING CO

CIK 0001115954

→
Entity typeother

Related Parties

1
  • filerCIK 0001270707

Filing Metadata

Form type
5
Filed
Nov 20, 7:00 PM ET
Accepted
Nov 21, 5:03 PM ET
Size
39.1 KB
View on SEC.gov