-----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, Ty1b9nnO5Zh+a1EPUm/6yu4wFT7RC+Y+7WQfG7X/SDMak9SEmw0dquT81kAspFTR nJ6Jan98nB3jWHBNEupBFg== 0000950136-02-001554.txt : 20020521 0000950136-02-001554.hdr.sgml : 20020521 20020520175804 ACCESSION NUMBER: 0000950136-02-001554 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020509 FILED AS OF DATE: 20020521 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CADENCE RESOURCES CORP CENTRAL INDEX KEY: 0000933157 STANDARD INDUSTRIAL CLASSIFICATION: METAL MINING [1000] IRS NUMBER: 870306609 STATE OF INCORPORATION: UT FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25170 FILM NUMBER: 02658348 BUSINESS ADDRESS: STREET 1: 6 EAST ROSE ST CITY: WALLA WALLA STATE: WA ZIP: 99362 BUSINESS PHONE: 509-526-3491 MAIL ADDRESS: STREET 1: 6 EAST ROSE STREET STREET 2: NO SUITE CITY: WALLA WALLA STATE: WA ZIP: 99362 FORMER COMPANY: FORMER CONFORMED NAME: ROYAL SILVER MINES INC DATE OF NAME CHANGE: 19960223 FORMER COMPANY: FORMER CONFORMED NAME: CONSOLIDATED ROYAL MINES INC DATE OF NAME CHANGE: 19950908 COMPANY DATA: COMPANY CONFORMED NAME: KAPLAN THOMAS SCOTT CENTRAL INDEX KEY: 0001124803 OWNER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 154 WEST 18TH STREEET APT 8C CITY: NEW YORK STATE: NY ZIP: 10011 BUSINESS PHONE: 2129408800 MAIL ADDRESS: STREET 1: 154 WEST 18TH STREET APT 8C CITY: NEW YORK STATE: NY ZIP: 10011 3 1 file001.txt FORM 3 -------------------------------------- FORM 3 OMB APPROVAL -------------------------------------- OMB Number: 3235-0104 Expires: December 31, 2001 Estimated average burden hours per response 0.5 -------------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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 (Print or Type Responses) - ------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* KAPLAN THOMAS SCOTT - ----------------------------------------------------------- (Last) (First) (Middle) 154 WEST 18TH STREET APT. 8C - ----------------------------------------------------------- (Street) NEW YORK NY 10011 - ----------------------------------------------------------- (City) (State) (Zip) - ------------------------------------------------------------------------------- 2. Date of Event Requiring Statement (Month/Day/Year) 5/9/02 - ------------------------------------------------------------------------------- 3. IRS Identification Number of Reporting Person, if any entity (voluntary) - ------------------------------------------------------------------------------- 4. Issuer Name and Ticker of Trading Symbol CADENCE RESOURCES CORPORATION (OTC BB:"CDNR") - ------------------------------------------------------------------------------- 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ ] Director [X] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) -------------------------------------------------- - ------------------------------------------------------------------------------- 6. If Amendment, Date of Original (Month/Day/Year) - ------------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check applicable line) [X] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person - -------------------------------------------------------------------------------
TABLE I--NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED - -------------------------------------------------------------------------------------------------------------------- 1. Title of Security 2. Amount of Securities 3. Ownership 4. Nature of Indirect Beneficial Ownership (Instr. 4) Beneficially Owned Form: Direct (Instr. 5) (Instr. 4) (D) or Indirect (I) (Instr. 5) - -------------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------------- COMMON STOCK, par value $0.01 per share 1,053,334 I SEE NOTE 1 - -------------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 5(b)(v). 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. (OVER FORM 3 (CONTINUED)
TABLE II--DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ---------------------------------------------------------------------------------------------------------------------------------- 1. Title of Derivative 2. Date Exer- 3. Title and Amount of Securities 4. Conver- 5. Owner- 6. Nature of Security (Instr. 4) cisable and Underlying Derivative Security sion or ship Indirect Expiration (Instr. 4) Exercise Form of Beneficial Date ----------------------------------- Price of Deriv- Ownership (Month/Day/Year) Deriv- ative (Instr. 5) --------------------- Amount ative Security: or Security Direct Date Expira- Title Number (D) or Exer- tion of Indirect cisable Date Shares (I) (Instr. 5) - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- Warrants to purchase common stock 4/15/02 4/15/07 Common Stock 903,334 $0.30 I SEE NOTE 1 - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: (1) Pursuant to voting trust agreements, the Reporting Person has voting and dispositive control with respect to 723,334 shares of common stock and warrants to purchase 723,334 shares of common stock owned by Electrum Capital LLC ("Electrum") and 330,000 shares of common stock and warrants to purchase 180,000 shares of common stock owned by Electrum Resources LLC ("Resources"). The Reporting Person disclaims beneficial ownership of the issuer's common stock held by Electrum and Resources, except to the extent of his pecuniary interest therein. /s/ Thomas S. Kaplan 5/20/02 ---------------------------------------- ------------------ ** 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). Note: File three copies of this Form, one of which must be manually signed. If space provided 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 control number. Page 2 -----END PRIVACY-ENHANCED MESSAGE-----