-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HfO6OQLqkVrfdRo/fB5ZN0oTmX7j9I83zdqQsM7K2scVD0CkWel4mkv5WyscI6aJ cW4VzIhrrE3NfCQAcuXlag== 0000950136-02-003082.txt : 20021101 0000950136-02-003082.hdr.sgml : 20021101 20021101152630 ACCESSION NUMBER: 0000950136-02-003082 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021030 FILED AS OF DATE: 20021101 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: APEX SILVER MINES LTD CENTRAL INDEX KEY: 0001011509 STANDARD INDUSTRIAL CLASSIFICATION: GOLD & SILVER ORES [1040] IRS NUMBER: 841363747 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13627 FILM NUMBER: 02806729 BUSINESS ADDRESS: STREET 1: CALEDONIAN HOUSE MARY STREET STREET 2: GEORGETOWN BWI CITY: GRAND CAYMAN ISLAND BUSINESS PHONE: 3038395060 MAIL ADDRESS: STREET 1: CALEDONIAN HOUSE MARY STREET STREET 2: GEORGETOWN BWI CITY: GRAND CAYMAN ISLAND REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: KAPLAN THOMAS SCOTT CENTRAL INDEX KEY: 0001124803 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 154 WEST 18TH STREEET APT 8C CITY: NEW YORK STATE: NY ZIP: 10011 BUSINESS PHONE: 2129408800 MAIL ADDRESS: STREET 1: 154 WEST 18TH STREET APT 8C CITY: NEW YORK STATE: NY ZIP: 10011 4 1 file001.txt FORM 4 FORM 4 _________________________________ | OMB APPROVAL | [ ] Check this box if no longer subject _________________________________ to Section 16. Form 4 or Form 5 | OMB Number: 3235-0287 | obligations may continue. See | Expires: January 31, 2005 | Instruction 1(b). | Estimated average burden | | hours per response.....0.5 | _________________________________ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) - ------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* Kaplan Thomas S. - ----------------------------------------------------- (Last) (First) (Middle) 154 West 18th Street - ----------------------------------------------------- (Street) New York NY 10011 - ----------------------------------------------------- (City) (State) (Zip) - ------------------------------------------------------------------------------- 2. Issuer Name and Ticker or Trading Symbol APEX SILVER MINES LTD. (SIL) - ------------------------------------------------------------------------------- 3. IRS Identification Number of Reporting Person, if an entity (voluntary) - ------------------------------------------------------------------------------- 4. Statement for Month/Day/Year October 30, 2002 - ------------------------------------------------------------------------------- 5. If Amendment, Date of Original (Month/Day/Year) - ------------------------------------------------------------------------------- 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [X] Director [ ] 10% Owner [ ] Officer (give title below) [ ] Other (specify title below) -------------------------------------------------- - ------------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check applicable line) [X] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person - -------------------------------------------------------------------------------
TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 5. Amount of Securities 6. Owner- Beneficially ship 2. Trans- 3. Trans- 4. Securities Acquired (A) Owned Form: action 2A. Deemed action or Disposed of (D) Following Direct 7. Nature of Date Execution Code (Instr. 3, 4 and 5) Reported (D) or Indirect 1. Title of Security (Month/ Date, if any (Instr. 8) -------------------------- Transaction(s) Indirect Beneficial (Instr. 3) Day/ (Month/Day/ ---------- Amount (A) or Price (Instr. (I) Ownership Year) Year) Code V (D) 3 and 4) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Ordinary Stock, par value $0.01 per share ("Shares") 10/30/02 J 108,249 D(4) I (1) - ------------------------------------------------------------------------------------------------------------------------------------ Ordinary Stock 10/30/02 G V 1,665,000 D(5) I (2) - ------------------------------------------------------------------------------------------------------------------------------------ Ordinary Stock 10/30/02 G V 80,000 D(6) I (1) - ------------------------------------------------------------------------------------------------------------------------------------ 3,126,670 I (3) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4(b)(v). POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT (Over) REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. SEC 1474 (9-02)
FORM 4 (CONTINUED)
TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1. 2. 3. 3A. 4. 5. 6. 7. 8. 9. 10. 11. - ------------------------------------------------------------------------------------------------------------------------------------ Title and Ownership Number of Date Exer- Amount of Number of Form of Derivative cisable and Underlying Derivative Deriv- Securities Expiration Securities Price Securities ative Conver- Trans- Acquired (A) Date (Month/ (Instr. 3 of Benefi- Security: sion or Trans- Deemed action or Disposed Day/Year) and 4) Deriv- cially Direct Exercise action Execution Code of (D) ------------- ------------- ative Owned (D) or Nature of Title of Price of Date Date, if (Instr. (Instr. 3, Date Amount Secur- Following Indirect Indirect Derivative Deriv- (Month/ any 8) 4 and 5) Exer- Expir- or Num- ity Reported (I) Beneficial Security ative Day/ (Month/ -------- ---------- cis- ation ber of (Instr. Transaction(s) (Instr. Ownership (Instr. 3) Security Year) Day/Year) Code V (A) (D) able Date Title Shares 5) (Instr. 4) 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: (1) The Shares are held by Argentum, LLC, which pursuant to a voting trust agreement the Reporting Person has voting and dispositive control with respect to the Shares. (2) The Shares are held by Consolidated Commodities, Ltd., which pursuant to a voting trust agreement the Reporting Person has voting and dispositive control with respect to the Shares. (3) The Shares are held by Argentum, LLC and Consolidated Commodities, Ltd., which pursuant to voting trust agreements the Reporting Person has voting and dispositive control with respect to the Shares. (4) Represents an exchange on behalf of the Reporting Person's spouse, of Shares held by Argentum, LLC for a shareholder's 2.75% interest in Consolidated Commodities, Ltd., which company's sole asset is Shares, for an amount of Shares equal to 2.75% of the Shares held by Consolidated Commodities, Ltd. (5) Represents a gift made by Consolidated Commodities, Ltd., to the D. Recanati Irrevocable Trust. (6) Represents a gift made by Consolidated Commodities, Ltd., to a charitable foundation. /s/ Thomas S. Kaplan 11/1/02 ---------------------------------------- -------------------- ** Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. -----END PRIVACY-ENHANCED MESSAGE-----