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