TREND MINING CO 5/A

Accession 0001193805-04-000253

CIK 0001115954operating

Filed

Feb 11, 7:00 PM ET

Accepted

Feb 12, 6:54 PM ET

Size

18.0 KB

Accession

0001193805-04-000253

Form 5/AAmended

Period: 2003-09-30

10% Owner

Transactions

Other
Warrant
2002-05-07+60,000→ 60,000 total(indirect: Through LCM)
Exercise: $1.00From: 2002-05-07Exp: 2007-06-27→ Common Stock (60,000 underlying)
Other
Warrant
2002-01-30+119,445→ 119,445 total(indirect: Through LCM)
Exercise: $1.00From: 2002-01-30Exp: 2005-01-09→ Common Stock (119,445 underlying)
Other
Warrant
2002-05-22+35,000→ 95,000 total(indirect: Through LCM)
Exercise: $1.00From: 2002-05-22Exp: 2007-06-27→ Common Stock (35,000 underlying)
Purchase
Common Stock
2002-10-10$0.10/sh+370,000$37,000→ 900,174 total(indirect: Through LCM)
Other
Warrant
2002-06-18+18,413→ 113,413 total(indirect: Through LCM)
Exercise: $1.00From: 2002-06-18Exp: 2007-06-27→ Common Stock (18,413 underlying)

10% Owner

Transactions

Other
Warrant
2002-06-18+18,413→ 113,413 total(indirect: Through LCM)
Exercise: $1.00From: 2002-06-18Exp: 2007-06-27→ Common Stock (18,413 underlying)
Other
Warrant
2002-05-07+60,000→ 60,000 total(indirect: Through LCM)
Exercise: $1.00From: 2002-05-07Exp: 2007-06-27→ Common Stock (60,000 underlying)
Other
Warrant
2002-05-22+35,000→ 95,000 total(indirect: Through LCM)
Exercise: $1.00From: 2002-05-22Exp: 2007-06-27→ Common Stock (35,000 underlying)
Purchase
Common Stock
2002-10-10$0.10/sh+370,000$37,000→ 900,174 total(indirect: Through LCM)
Other
Warrant
2002-01-30+119,445→ 119,445 total(indirect: Through LCM)
Exercise: $1.00From: 2002-01-30Exp: 2005-01-09→ Common Stock (119,445 underlying)

Footnotes (4)

[F1]This amendment amends the Form 5 filed November 21, 2003 (the "Form 5"), which reported holdings and transactions of Common Stock, convertible debt and warrants of the Company beneficially owned by the Reporting Persons. This amendment is being filed to report in Table I a previously unreported acquisition of Common Stock by LCM Holdings LDC ("LCM") and to correct the expiration dates previously reported for the warrants reported in Table II of this amendment. Except as otherwise provided herein , the information contained in the Form 3 remains complete and unaffected by this amendment.
[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 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 his/her respective beneficial ownership of such se curities as determined pursuant to Rule 16a-1(a)(2) promulgated thereunder.
[F3]Pursuant to a January 30, 2002 agreement with the Company in which LCM waived $2,129 in accrued interest under a convertible note, the exercise price of these warrants was reduced to $1.00.
[F4]Represents Common Stock purchase warrants issued in connection with LCM's acquisition of convertible debt from the company.

Documents

2 files

TREND MINING CO

CIK 0001115954

Entity typeoperating

IncorporatedDE