0001193805-16-002159.txt : 20160105 0001193805-16-002159.hdr.sgml : 20160105 20160105172823 ACCESSION NUMBER: 0001193805-16-002159 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20151231 FILED AS OF DATE: 20160105 DATE AS OF CHANGE: 20160105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GRAT Holdings LLC CENTRAL INDEX KEY: 0001565707 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35447 FILM NUMBER: 161323822 BUSINESS ADDRESS: STREET 1: 535 MADISON AVENUE, 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 646-532-2820 MAIL ADDRESS: STREET 1: 535 MADISON AVENUE, 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Electrum Group LLC CENTRAL INDEX KEY: 0001565641 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35447 FILM NUMBER: 161323823 BUSINESS ADDRESS: STREET 1: 535 MADISON AVENUE, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 646-365-1600 MAIL ADDRESS: STREET 1: 535 MADISON AVENUE, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Leopard Holdings LLC CENTRAL INDEX KEY: 0001565706 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35447 FILM NUMBER: 161323824 BUSINESS ADDRESS: STREET 1: 535 MADISON AVENUE, 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 646-532-2820 MAIL ADDRESS: STREET 1: 535 MADISON AVENUE, 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TEG Global GP Ltd. CENTRAL INDEX KEY: 0001565709 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35447 FILM NUMBER: 161323825 BUSINESS ADDRESS: STREET 1: 535 MADISON AVENUE, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 646-365-1600 MAIL ADDRESS: STREET 1: 535 MADISON AVENUE, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ELECTRUM GLOBAL HOLDINGS L.P. CENTRAL INDEX KEY: 0001564994 STATE OF INCORPORATION: E9 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35447 FILM NUMBER: 161323826 BUSINESS ADDRESS: STREET 1: C/O THE ELECTRUM GROUP LLC STREET 2: 535 MADISON AVENUE, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 646-365-1600 MAIL ADDRESS: STREET 1: C/O THE ELECTRUM GROUP LLC STREET 2: 535 MADISON AVENUE, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KAPLAN THOMAS SCOTT CENTRAL INDEX KEY: 0001124803 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35447 FILM NUMBER: 161323827 MAIL ADDRESS: STREET 1: 154 WEST 18TH STREET APT 8C CITY: NEW YORK STATE: NY ZIP: 10011 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Electrum Strategic Resources L.P. CENTRAL INDEX KEY: 0001454795 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35447 FILM NUMBER: 161323821 BUSINESS ADDRESS: STREET 1: 1370 AVENUE OF THE AMERICAS, 19TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: (646) 365-1600 MAIL ADDRESS: STREET 1: 1370 AVENUE OF THE AMERICAS, 19TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 FORMER NAME: FORMER CONFORMED NAME: Electrum Strategic Resources LLC DATE OF NAME CHANGE: 20090127 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NovaCopper Inc. CENTRAL INDEX KEY: 0001543418 STANDARD INDUSTRIAL CLASSIFICATION: GOLD & SILVER ORES [1040] IRS NUMBER: 000000000 STATE OF INCORPORATION: A1 FISCAL YEAR END: 1130 BUSINESS ADDRESS: STREET 1: SUITE 1950 - 777 DUNSMUIR STREET CITY: VANCOUVER STATE: A1 ZIP: V7Y 1K4 BUSINESS PHONE: (604) 669-6227 MAIL ADDRESS: STREET 1: SUITE 1950 - 777 DUNSMUIR STREET CITY: VANCOUVER STATE: A1 ZIP: V7Y 1K4 4 1 e614419_4-novacopper.xml OWNERSHIP DOCUMENT X0306 4 2015-12-31 0 0001543418 NovaCopper Inc. NCQ 0001124803 KAPLAN THOMAS SCOTT 700 MADISON AVE., 5TH FLOOR NEW YORK NY 10065 0 0 0 1 Possible member of 10% group 0001564994 ELECTRUM GLOBAL HOLDINGS L.P. 700 MADISON AVE., 5TH FLOOR NEW YORK NY 10065 0 0 0 1 Possible member of 10% group 0001565709 TEG Global GP Ltd. 700 MADISON AVE., 5TH FLOOR NEW YORK NY 10065 0 0 0 1 Possible member of 10% group 0001565706 Leopard Holdings LLC 535 MADISON AVE., 12TH FLOOR NEW YORK NY 10022 0 0 0 1 Possible member of 10% group 0001565641 Electrum Group LLC 700 MADISON AVE., 5TH FLOOR NEW YORK NY 10065 0 0 0 1 Possible member of 10% group 0001565707 GRAT Holdings LLC 700 MADISON AVE., 5TH FLOOR NEW YORK NY 10065 0 0 0 1 Possible member of 10% group 0001454795 Electrum Strategic Resources L.P. 700 MADISON AVE., 5TH FLOOR NEW YORK NY 10065 0 0 0 1 Possible member of 10% group Common Shares 2015-12-31 4 J 0 5608352 D 0 I By Electrum Global Holdings L.P. Common Shares 2015-12-31 4 J 0 16022449 D 0 I By Electrum Strategic Resources L.P. Common Shares 21630801 I By Electrum Strategic Opportunities Fund L.P. Common Shares 10000 I By Tigris Financial Group Ltd. Common Shares 833333 I By GRAT Holdings LLC Common Shares 113739 D Warrants (right to buy) 1.60 2015-12-31 4 J 0 2760870 D 2014-07-07 2019-07-07 Common Shares 2760870 0 I By Electrum Strategic Resources L.P. Warrants (right to buy) 1.60 2014-07-07 2019-07-07 Common Shares 2760870 2760870 I By Electrum Strategic Opportunities Fund L.P. On December 31, 2015, as part of an internal reorganization, Electrum Global Holdings L.P. ("Global Holdings") contributed 5,608,352 of the Issuer's common shares owned directly by it to Electrum Strategic Opportunities Fund L.P. ("ESOF"), an investment fund managed by The Electrum Group LLC ("TEG Services"). In addition, on the same date, Global Holdings caused Electrum Strategic Resources L.P. ("Electrum Strategic") to contribute to ESOF 16,022,449 of the Issuer's common shares and warrants to purchase 2,760,870 of the Issuer's common shares. Accordingly, ESOF directly holds all of the securities previously reported as being indirectly beneficially owned through Global Holdings and Electrum Strategic. In connection with the foregoing contribution, Global Holdings received a limited partnership interest in ESOF. On December 31, 2015, the closing price per common share of the Issuer was $0.28. Global Holdings owns all of the limited partnership interests of Electrum Strategic Resources L.P. ("Electrum Strategic") and all of the equity interests of Electrum Strategic Management LLC, the general partner of Electrum Strategic. TEG Global GP Ltd. ("Global GP") is the sole general partner of, and TEG Services is the investment adviser to, Global Holdings. Global GP is principally owned and controlled, indirectly, by GRAT Holdings LLC ("GRAT Holdings"). GRAT Holdings is owned by trusts for the benefit of family members of Mr. Kaplan. ESOF is an investment fund, of which TEG Services is the investment adviser. Global Holdings owns (i) a limited partnership interest in ESOF (ii) a limited partnership interest in Electrum Strategic Opportunities Fund GP L.P. (the "ESOF General Partner"), the general partner of ESOF, and (iii) 100% of the equity interests of ESOF GP Ltd., which is the general partner of the ESOF General Partner. Global GP is the sole general partner of, and TEG Services is the investment adviser to, Global Holdings. Global GP is principally owned and controlled, indirectly, by GRAT Holdings. GRAT Holdings is owned by trusts for the benefit of family members of Dr. Kaplan. Mr. Kaplan is the sole shareholder of Tigris. In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by Tigris, Global Holdings, GRAT Holdings, Electrum Strategic and ESOF is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, each reporting person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such reporting person is the beneficial owner of such securities for purposes of Section 16 or otherwise. /s/ Thomas S. Kaplan 2016-01-05 EX-99 2 e614419_ex99.htm Unassociated Document
 
Joint Filer Information
 
Names:
Electrum Global Holdings L.P.
TEG Global GP Ltd.
Leopard Holdings LLC
The Electrum Group LLC
GRAT Holdings LLC
Electrum Strategic Resources L.P.
   
Address: 
Electrum Global Holdings L.P., TEG Global GP Ltd., The Electrum Group LLC and GRAT Holdings LLC
700 Madison Ave., 5th Floor
New York, New York 10065

Leopard Holdings LLC
535 Madison Ave., 12th Floor
New York, New York 10022
   
Designated Filer: 
Thomas Scott Kaplan
   
Issuer and Ticker Symbol:
NovaCopper Inc. [NCQ]
   
Date Earliest Transaction
Required to be Reported:
December 31, 2015
 
Each of the undersigned, Electrum Strategic Resources, L.P.,  Electrum Global Holdings L.P., TEG Global GP Ltd., Leopard Holdings LLC, The Electrum Group LLC and GRAT Holdings LLC, is jointly filing the attached Statement of Changes in Beneficial Ownership on Form 4 with Thomas S. Kaplan with respect to the beneficial ownership of securities of NovaCopper Inc.

Signatures:


ELECTRUM GLOBAL HOLDINGS L.P.


By: TEG Global GP Ltd., its General Partner

By:  /s/ William Natbony
       Name: William Natbony
       Title: Director


TEG GLOBAL GP LTD.
 
By:  /s/ William Natbony
       Name: William Natbony
       Title: Director
 
 
 
 

 


LEOPARD HOLDINGS LLC
 
By:  /s/ William Natbony
       Name: William Natbony
       Title: Manager

GRAT HOLDINGS LLC
 
By:  /s/ William Natbony
       Name: William Natbony
      Title: Manager


ELECTRUM STRATEGIC RESOURCES L.P.
 
By: Electrum Strategic Management LLC, its General Partner

By:  /s/ Michael H. Williams
       Name: Michael H. Williams
       Title: Managing Director


THE ELECTRUM GROUP LLC
 
By:  /s/ Michael H. Williams
       Name: Michael H. Williams
       Title: Senior Managing Director