0001493152-18-005670.txt : 20180424 0001493152-18-005670.hdr.sgml : 20180424 20180424105322 ACCESSION NUMBER: 0001493152-18-005670 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180420 FILED AS OF DATE: 20180424 DATE AS OF CHANGE: 20180424 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: 18770507 MAIL ADDRESS: STREET 1: 154 WEST 18TH STREET APT 8C CITY: NEW YORK STATE: NY ZIP: 10011 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: 18770503 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: 18770505 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 Strategic Opportunities Fund L.P. CENTRAL INDEX KEY: 0001637981 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35447 FILM NUMBER: 18770506 BUSINESS ADDRESS: STREET 1: C/O THE ELECTRUM GROUP LLC STREET 2: 700 MADISON AVENUE, 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10065 BUSINESS PHONE: (646) 365-1600 MAIL ADDRESS: STREET 1: C/O THE ELECTRUM GROUP LLC STREET 2: 700 MADISON AVENUE, 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10065 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ESOF GP Ltd. CENTRAL INDEX KEY: 0001663180 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35447 FILM NUMBER: 18770504 BUSINESS ADDRESS: STREET 1: C/O THE ELECTRUM GROUP LLC STREET 2: 700 MADISON AVENUE, 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10065 BUSINESS PHONE: (646) 365-1600 MAIL ADDRESS: STREET 1: C/O THE ELECTRUM GROUP LLC STREET 2: 700 MADISON AVENUE, 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10065 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Trilogy Metals 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 1150, 609 GRANVILLE STREET CITY: VANCOUVER STATE: A1 ZIP: V7Y 1G5 BUSINESS PHONE: (604) 638-8088 MAIL ADDRESS: STREET 1: SUITE 1150, 609 GRANVILLE STREET CITY: VANCOUVER STATE: A1 ZIP: V7Y 1G5 FORMER COMPANY: FORMER CONFORMED NAME: NovaCopper Inc. DATE OF NAME CHANGE: 20120228 4 1 form4.xml X0306 4 2018-04-20 0 0001543418 Trilogy Metals Inc. TMQ 0001124803 KAPLAN THOMAS SCOTT 535 MADISON AVENUE, 12TH FLOOR NEW YORK NY 10022 0 0 0 1 Possible member of 10% group 0001637981 Electrum Strategic Opportunities Fund L.P. 535 MADISON AVENUE, 12TH FLOOR NEW YORK NY 10022 0 0 0 1 Possible member of 10% group 0001565641 Electrum Group LLC 535 MADISON AVENUE, 12TH FLOOR NEW YORK NY 10022 0 0 0 1 Possible member of 10% group 0001663180 ESOF GP Ltd. 535 MADISON AVENUE, 12TH FLOOR NEW YORK NY 10022 0 0 0 1 Possible member of 10% group 0001565707 GRAT Holdings LLC 535 MADISON AVENUE, 12TH FLOOR NEW YORK NY 10022 0 0 0 1 Possible member of 10% group Common Shares 2018-04-20 4 J 0 5031250 1.16 A 29422923 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) 1.52 2014-07-07 2019-07-07 Common Shares 2760870 2760870 I By Electrum Strategic Opportunities Fund L.P. On April 20, 2018, ESOF acquired 5,031,250 of the Issuer's Common Shares for an aggregate purchase price of $5,836,250, or $1.16 per Common Share. ESOF is an investment fund, of which The Electrum Group LLC is the investment adviser. ESOF GP Ltd. is the general partner of the sole general partner of ESOF. Mr. Kaplan is the sole shareholder of Tigris Financial Group Ltd. ("Tigris"). GRAT Holdings LLC ("GRAT Holdings") is owned by trusts for the benefit of family members of Mr. Kaplan. In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by Tigris, GRAT Holdings, and ESOF is reported herein. For purposes of Section16 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. * Any Common Shares reported herein are no longer deemed to be beneficially owned by Leopard Holdings LLC, Electrum Global Holdings L.P., and TEG Global GP Ltd, solely due to an internal restructuring. /s/ Thomas S. Kaplan 2018-04-24