-----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, Gu0/xo2HYonWeMnXbEfV9bM0sCKcmW7YZVIe00mtCn0/P+QcyGxM5xx+d8wyGpEx uUQr5sxpu13LZqQAnDq9zg== 0000950127-02-000667.txt : 20020610 0000950127-02-000667.hdr.sgml : 20020610 20020607140558 ACCESSION NUMBER: 0000950127-02-000667 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020507 FILED AS OF DATE: 20020607 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CHAPARRAL RESOURCES INC CENTRAL INDEX KEY: 0000019252 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 840630863 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-07261 FILM NUMBER: 02673405 BUSINESS ADDRESS: STREET 1: 16945 NORTHCHASE SUITE 1620 CITY: HOUSTON STATE: TX ZIP: 77060 BUSINESS PHONE: 2818777100 MAIL ADDRESS: STREET 1: 16945 NORTHCHASE STREET 2: SUITE 1620 CITY: HOUSTON STATE: TX ZIP: 77060 COMPANY DATA: COMPANY CONFORMED NAME: SHELL CAPITAL LTD CENTRAL INDEX KEY: 0001106190 OWNER FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: SHELL CENTRE CITY: LONDON ENGLAND BUSINESS PHONE: 004402079343080 MAIL ADDRESS: STREET 1: SHELL CENTRE CITY: LONDON ENGLAND 4 1 form4.txt STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ------------------------------ OMB APPROVAL ------------------------------ OMB Number 3235-0287 Expires: January 31, 2005 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 [ X ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). (Print or Type Responses) ================================================================================ 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 May, 2002 ================================================================================ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 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 $9.79 May 7, 2002 J(see 1,785,455 (consisting September September purchase footnote of shares of common 30, 2001 30, 2006 common stock 1) stock issuable upon exercise of Warrants) - ------------------------------------------------------------------------------------------------------------------------------------ 1 The Warrants to purchase common stock were transferred in connection with a transfer of a loan previously extended by Shell Capital Inc. to the Issuer, all pursuant to the Sale and Purchase Agreement, dated May 3, 2002, between Shell Capital Inc. and Central Asian Industrial Holdings N.V. - -------------------------------------------------------------------------------- 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 common stock 1,785,455 0 N/A N/A purchase common stock - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: Shell Capital Limited By:/s/Roderick Innes Owen June 7, 2002 ----------------------------------------- ------------------------ Name: Roderick Innes Owen Date Title: Attorney in fact ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedures. 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: Shell Capital Limited Issuer and Ticker Symbol: Chaparral Resources, Inc. (CHAR) Date of Event Requiring filing: May 7, 2002 The Shell Petroleum Company Limited By:/s/Gordon J. West June 7, 2002 ----------------------------------------- ------------------------ Name: Gordon J. West Date Title: Assistant Company Secretary **Signature of Reporting Person -----END PRIVACY-ENHANCED MESSAGE-----