4 1 form4.txt STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ------------------------------ OMB APPROVAL ------------------------------ OMB Number 3235-0287 Expires: December 31, 2001 Estimated average burden hours per response ....... 0.5 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 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 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ================================================================================ 1. Name and Address of Reporting Person* Shell Capital Limited -------------------------------------------------------------------------------- (Last) (First) (Middle) Shell Centre -------------------------------------------------------------------------------- (Street) London England SE1 7NA -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol Chaparral Resources, Inc. (CHAR) ================================================================================ 3. IRS Identification Number of Reporting Person (if an entity) (voluntary) ================================================================================ 4. Statement for Month/Year April, 2001 ================================================================================ 5. If Amendment, Date of Original (Month/Year) February, 2000 ================================================================================ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ ] Director [ X ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) --------------------------- ================================================================================ 7. Individual or Joint/Group Filing (Check applicable line) [ ] Form filed by one Reporting Person [ X ] Form filed by more than one Reporting Person * If the form is filed by more than one reporting person, see Instruction 4(b)(v). ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned --------------------------------------------------------------------------------
4. Securities Acquired (A) or 3. Disposed of (D) Transaction (Instr. 3, 4 and 5) 2. Code ----------------------------- 1. Transaction (Instr. 8) (A) Title of Security Date ------------ Amount or Price (Instr. 3) (mm/dd/yy) Code V (D) ------------------------------------------------------------------------------------------------------------------------------------ (1) ------------------------------------------------------------------------------------------------------------------------------------ (2) ------------------------------------------------------------------------------------------------------------------------------------ -------------------------------------------------------------------------------- Table I (cont.) -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned -------------------------------------------------------------------------------- 5. 6. Owner- Amount of ship Securities Form: 7. Beneficially Direct Nature of Owned at End (D) or Indirect 1. of Month Indirect Beneficial Title of Security (Instr. 3 (I) Ownership (Instr. 3) and 4) (Instr.4) (Instr. 4) ------------------------------------------------------------------------------------------------------------------ (1) ------------------------------------------------------------------------------------------------------------------ (2) ------------------------------------------------------------------------------------------------------------------ ==================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. ================================================================================ Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) --------------------------------------------------------------------------------
6. Date 5. Exercisable and 2. 4. Number of Derivative Expiration Date 1. Conversion or Transaction Securities Acquired (A) (Month/Day/Year) Title of Exercise 3. Code or Disposed of (D) ---------------- Derivative Price of Transaction (Instr. 8) (Instr. 3, 4 and 5) Date Expira- Security Derivative Date (Month/ ------ ----------------------- Exer- tion (Instr. 3) Security Day/Year) Code V A) (D) cisable Date ------------------------------------------------------------------------------------------------------------------------------------ (1) Warrants to purchase See footnote None See footnote See footnote common stock $9.79 April 18, 2001 P V #1 #2 #3 ------------------------------------------------------------------------------------------------------------------------------------ (2) ------------------------------------------------------------------------------------------------------------------------------------ -------------------------------------------------------------------------------- Table II (cont.) -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) -------------------------------------------------------------------------------- 7. Title and Amount of Underlying 10. Securities 9. Ownership (Instr. 3 and 4) Number of Form of ---------------- Derivative Derivative 11. 1. Amount 8. Securities Securities Nature of Title of or Price of Beneficially Beneficially Indirect Derivative Number Derivative Owned Owned at Beneficial Security of Security at End of Month End of Month Ownership (Instr. 3) Title Shares (Instr. 5) (Instr.4) (Instr. 4) (Instr. 4) ------------------------------------------------------------------------------------------------------------------------------------ (1) Warrants to purchase common stock Common stock 1,785,455 1,785,455 D ------------------------------------------------------------------------------------------------------------------------------------ (2) ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: 1 The number of shares of common stock represented by the Warrants increased from 146,693 shares to 1,785,455 shares as a result of dilutive events arising in connection with the issuance by the Company of additional common stock. 2 The Warrants are exercisable at any time beginning upon the earlier of (i) the date of completion of the development project of the Karakuduk Oil Field in the Republic of Kazakhstan, as envisaged under the terms of the Loan Agreement, and (ii) September 30, 2001 (the "Commencement Date"). 3 Five years from the Commencement Date. Michael Patrick Treanor April 27, 2001 --------------------------------------------- ----------------------- **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). SEC 1472 Note: File three copies of this Form, one of which must be manually (3-99) 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 number. Joint Filer Information Name: The Shell Petroleum Company Limited Address: Shell Centre London SE1 7NA England Designated Filer: Chapparral Resources, Inc. (CHAR) Date of Event Requiring Statement: April 18, 2001 Signature By/s/Jyoti Eruch Munsiff ------------------------------- Name: Jyoti Eruch Munsiff Title: Company Secretary