-----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, TPdQy16sHzsjuQtqouFgDZolKeDWJ4UMf43kj0JvQ3dD0cQtKHvfcbyB3bBt2asL jTvwqcmmTw4kYynZgPUFbQ== 0000950136-02-003171.txt : 20021113 0000950136-02-003171.hdr.sgml : 20021113 20021113114849 ACCESSION NUMBER: 0000950136-02-003171 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021023 FILED AS OF DATE: 20021113 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CADENCE RESOURCES CORP LP 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25170 FILM NUMBER: 02818925 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: CONSOLIDATED ROYAL MINES INC DATE OF NAME CHANGE: 19950908 FORMER COMPANY: FORMER CONFORMED NAME: ROYAL SILVER MINES INC DATE OF NAME CHANGE: 19960223 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: KAPLAN THOMAS SCOTT CENTRAL INDEX KEY: 0001124803 RELATIONSHIP: OWNER FILING VALUES: FORM TYPE: 4 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 4 1 file001.txt FORM 4 FORM 4 ------------------------------ OMB APPROVAL [ ] Check this box if no longer subject ------------------------------ to Section 16. Form 4 or Form 5 OMB Number: 3235-0287 obligations may continue. See Expires: January 31, 2005 Instruction 1(b). Estimated average burden hours per response.........0.5 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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 (Print of Type Responses) ________________________________________________________________________________ 1. Name and Address of Reporting Person* Kaplan Thomas S. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 154 West 18th Street - -------------------------------------------------------------------------------- (Street) New York NY 10011 - -------------------------------------------------------------------------------- (City) (State) (Zip) - -------------------------------------------------------------------------------- 2. Issuer Name and Ticker or Trading Symbol CADENCE RESOURCES CORPORATION (OTC BB: "CDNR") - -------------------------------------------------------------------------------- 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) - -------------------------------------------------------------------------------- 4. Statement for Month/Day/Year 10/23/02 - -------------------------------------------------------------------------------- 5. If Amendment, Date of Original (Month/Day/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) |X| Form Filed by One Reporting Person |_| Form Filed by More than One Reporting Person ________________________________________________________________________________
==================================================================================================================================== TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED ==================================================================================================================================== 5. Amount of 6. 4. Securities Owner- Securities Acquired (A) or Beneficially ship 2. 2A. 3. Disposed of (D) Owned Form: 7. Trans- Deemed Transaction (Instr. 3, 4 and 5) Following Direct Nature of action Execution Code ------------------------------- Reported (D) or Indirect 1. Date Date, if (Instr. 8) (A) Transaction(s) Indirect Beneficial Title of Security (Month any (Month ------------ or (Instr. 3 & (I) Ownership (Instr. 3) Day/Year) Day/Year) Code V Amount (D) Price Instr.4) (Instr.4) (Instr.4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value $0.01 per share 10/23/02 X 723,334 A $0.30 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value $0.01 per share 10/23/02 X 180,000 A $0.30 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value $0.01 per share 10/23/02 S 117,298 D $1.85 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value $0.01 per share 10/23/02 S 29,189 D $1.85 1,810,181 I (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 4(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 CONTROL NUMBER (Over) SEC 1474 (9-02) FORM 4 (continued)
TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) 9. Number 10. of Owner- deriv- ship ative Form 2. Secur- of Conver- 5. 7. ities Deriv- 11. sion Number of Title and Amount Bene- ative Nature or Derivative 6. of Underlying 8. ficially Secur- of Exer- 3A. 4. Securities Date Securities Price Owned ity: In- cise Deemed Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of Follow- Direct direct Price 3. Execut- action or Disposed Expiration Date ---------------- Deriv- ing (D) or Bene- 1. of Trans- ion Code of(D) (Month/Day/Year) Amount ative Reported In- ficial Title of Deriv- action Date if (Instr. (Instr. 3, ---------------- or Secur- Trans- direct Owner- Derivative ative Date any 8) 4 and 5) Date Expira- Number ity action(s) (I) ship Security Secur- (Month (Month ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Day/Year Day/Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Warrants to purchase Common Common Stock $0.30 10/23/02 X 723,334 4/15/02 4/15/07 Stock 723,334 0 I - ------------------------------------------------------------------------------------------------------------------------------------ Warrants to purchase Common Common Stock $0.30 10/23/02 X 180,000 4/15/02 4/15/07 Stock 180,000 0 I - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: (1) Pursuant to voting trust agreements, the Reporting Person has voting and dispositive control with respect to 1,329,370 shares of common stock owned by Electrum Capital LLC ("Electrum") and 480,811 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 November 13, 2002 - --------------------------------------------- ----------------------- **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 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. Page 2 -----END PRIVACY-ENHANCED MESSAGE-----