-----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, H/seBZoQs3PRWzR4O4v7d6Jhjb7BBCI4f4Z+RmNE1/FXEQEjpi2dPFlBLca3vtRE K8brfdTSSNceHviH24oj2w== 0001104659-11-004720.txt : 20110203 0001104659-11-004720.hdr.sgml : 20110203 20110203115054 ACCESSION NUMBER: 0001104659-11-004720 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20110203 DATE AS OF CHANGE: 20110203 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Strathmore Minerals Corp. CENTRAL INDEX KEY: 0001310287 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS METAL ORES [1090] IRS NUMBER: 000000000 STATE OF INCORPORATION: A1 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-84692 FILM NUMBER: 11569168 BUSINESS ADDRESS: STREET 1: 700 - 1620 DICKSON AVENUE CITY: KELOWNA STATE: A1 ZIP: V1Y 9Y2 BUSINESS PHONE: 250-868-8445 MAIL ADDRESS: STREET 1: 700 - 1620 DICKSON AVENUE CITY: KELOWNA STATE: A1 ZIP: V1Y 9Y2 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PALA INVESTMENTS HOLDINGS LTD CENTRAL INDEX KEY: 0001412517 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 22 COLOMBERIE CITY: ST HELIER, JERSEY STATE: X0 ZIP: JE1 4XA BUSINESS PHONE: 44 1534 639815 MAIL ADDRESS: STREET 1: 22 COLOMBERIE CITY: ST HELIER, JERSEY STATE: X0 ZIP: JE1 4XA SC 13D/A 1 a11-5209_1sc13da.htm SC 13D/A

 

 

UNITED STATES

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

 

 

 

SCHEDULE 13D

 

 

Under the Securities Exchange Act of 1934
(Amendment No. 3)*

 

Strathmore Minerals Corp.

(Name of Issuer)

 

Common Shares

(Title of Class of Securities)

 

862920

(CUSIP Number of Class of Securities)

 

Susan Garrod

12 Castle Street

St. Helier, Jersey

Channel Islands

JE2 3RT

 

With copies to:

 

D’Arcy Nordick

Stikeman Elliott LLP

5300 Commerce Court West

199 Bay Street

Toronto, ON, M5L 1B9

Fax:  416-947-0866

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

 

February 3, 2011

(Date of Event Which Requires Filing Statement on Schedule 13D)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box o.

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent.

* The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be "filed" for the purposes of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

(Continued on following pages)

 



 

Schedule 13D

 

CUSIP No.   862920

 

 

(1)

Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person

Pala Investments Holdings Limited

 

 

(2)

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

(3)

SEC Use Only

 

 

(4)

Source of Funds
WC (see Item 3)

 

 

(5)

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

(6)

Citizenship or Place of Organization
Jersey, Channel Islands

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

(7)

Sole Voting Power
3,636,364(1)

 

(8)

Shared Voting Power
-0-

 

(9)

Sole Dispositive Power
3,636,364(1)

 

(10)

Shared Dispositive Power
-0-

 

 

(11)

Aggregate Amount Beneficially Owned by Each Reporting Person
3,636,364(1)

 

 

(12)

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

(13)

Percent of Class Represented by Amount in Row (11)
3.93%(2)

 

 

(14)

Type of Reporting Person
CO

 


(1) This total includes the common shares of Strathmore Minerals Corp. issuable upon exercise of the 3,636,364 Warrants to purchase common shares of Strathmore Minerals Corp. held by the Reporting Persons.

(2) This percentage is calculated on a partially diluted basis based on a total of 88,942,269 outstanding common shares as of December 31, 2010, as reported by Strathmore Minerals Corp.’s on its website, plus the 3,636,364 common shares issuable upon exercise of the Warrants owned by the Reporting Persons.

 

2



 

Schedule 13D

 

CUSIP No.   862920

 

 

(1)

Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person

Vladimir Iorich

 

 

(2)

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

(3)

SEC Use Only

 

 

(4)

Source of Funds
AF (see Item 3)

 

 

(5)

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

(6)

Citizenship or Place of Organization
Germany

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

(7)

Sole Voting Power
3,636,364(1)

 

(8)

Shared Voting Power
-0-

 

(9)

Sole Dispositive Power
3,636,364(1)

 

(10)

Shared Dispositive Power
-0-

 

 

(11)

Aggregate Amount Beneficially Owned by Each Reporting Person
3,636,364(1)

 

 

(12)

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

(13)

Percent of Class Represented by Amount in Row (11)
3.93%(2)

 

 

(14)

Type of Reporting Person
IN

 


(1) This total includes the common shares of Strathmore Minerals Corp. issuable upon exercise of the 3,636,364 Warrants to purchase common shares of Strathmore Minerals Corp. held by the Reporting Persons.

(2) This percentage is calculated on a partially diluted basis based on a total of 88,942,269 outstanding common shares as of December 31, 2010, as reported by Strathmore Minerals Corp.’s on its website, plus the 3,636,364 common shares issuable upon exercise of the Warrants owned by the Reporting Persons.

 

3



 

Item 1.

Security and Issuer.

This Amendment No. 3 (the “Amendment No. 3”) to Schedule 13D relates to the common shares (“Common Shares”) of Strathmore Minerals Corp. (the “Company”), a corporation incorporated under the laws of British Columbia, Canada, is being filed on behalf of the Reporting Persons to amend the Schedule 13D, which was originally filed with the Securities and Exchange Exchange Commission (the “SEC”) on January 19, 2010, as amended by the Amendment #1 filed on October 7, 2010 and Amendment #2 filed on January 19, 2011 (the “Schedule 13D”). Unless otherwise indicated, all capitalized terms used herein but not defined herein shall have the same meaning as set forth in the Schedule 13D. Except as amended by this Amendment No. 3, the Schedule 13D, as heretofore filed with the SEC, shall remain in full force and effect.

 

 

Item 4.

Purpose of Transaction

Pala acquired the Common Shares and Warrants of the Company for investment purposes. The Reporting Persons may seek at any time to dispose all or a portion of the Common Shares and/or Warrants, through open market transactions, negotiated transactions or otherwise. In addition, the Reporting Persons may acquire additional Common Shares and/or Warrants of the Company, whether through prospectus offerings, on the open market, through private transactions or through other forms of acquisition, subject to market conditions.

 

Pala currently has no plan or proposal with respect to the Company which relates to or could result in any of the matters listed in items 4(a)-(j) of Schedule 13D. The Reporting Persons continue to consider and evaluate strategic alternatives, including entering into transactions which may relate to or result in one or more events listed in items 4(a)-(j) of Schedule 13D. The Reporting Persons reserve the right to change their plans and intentions at any time, as they deem appropriate.

 

 

Item 5.

Interest in Securities of the Issuer

(a) As of February 3, 2011, Pala owned 3,636,364 Warrants to purchase 3,636,364 Common Shares of the Company within two years of January 20, 2010 for CDN$0.75 per Common Share.

 

(b) Pala has the sole power to direct the voting and disposition of 3,636,364 Common Shares, including the Common Shares issuable upon exercise of the Warrants owned by Pala. By virtue of his position as the indirect owner of Pala, Iorich may be deemed to beneficially own the 3,636,364 Common Shares of the Company beneficially owned by Pala.

 

(c) Except as disclosed in this Item 5 of this Schedule 13D, neither Pala nor Iorich, nor, to the best knowledge of Pala and Iorich, any of the directors or executive officers of Pala has effected any transaction in the Company’s Common Shares in the 60 days prior to the filing of this Schedule 13D.

 

(d) Not applicable.

 

(e) Not applicable.

 

 

Item 7.

Material to be Filed as Exhibits

Exhibit 99.1        Joint Filing Agreement dated as of February 3, 2011.

 

4



 

SIGNATURE

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this Amendment No.3 is true, complete and correct.

 

Dated: February 3, 2011.

 

 

PALA INVESTMENTS HOLDINGS LIMITED

 

 

 

 

 

 

 

By:

(signed) “Susan Garrod

 

Name: Susan Garrod

 

Title: Executive Director

 

 

 

 

 

 

 

By:

(signed) “Vladimir Iorich

 

Name: Vladimir Iorich

 

5



 

Annex A

 

Information with respect to Pala’s directors and executive officers is set forth in Annex A to this Amendment No.3 and is incorporated herein by reference.

 

Directors and Executive Officers of Pala

 

Name

 

Office Held at Pala

 

Common Shares
Beneficially Owned

Susan Garrod

 

Director

 

Nil

 

 

 

 

 

David Hopkins

 

Director

 

Nil

 

 

 

 

 

Keith Mackenzie

 

Director

 

Nil

 

6


 


 

EXHIBIT INDEX

 

Exhibit 99.1       Joint Filing Agreement dated as of February 3, 2011.

 

7


 

EX-99.1 2 a11-5209_1ex99d1.htm EX-99.1

Exhibit 1

 

Joint Filing Agreement

 

The undersigned hereby agree that the statement on Amendment No.3 to Schedule 13D with respect to the Common Shares of Strathmore Minerals Corp. dated February 3, 2011, is, and any further amendments thereto signed by each of the undersigned shall be, filed on behalf of each of the undersigned pursuant to and in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended.

 

Dated: February 3, 2011.

 

 

PALA INVESTMENTS HOLDINGS LIMITED

 

 

 

 

 

 

 

By:

(signed) “Susan Garrod

 

Name: Susan Garrod

 

Title: Executive Director

 

 

 

 

 

 

 

By:

(signed) “Vladimir Iorich

 

Name: Vladimir Iorich

 


 

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