-----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, O0RLoAlvnf483cIL8uIW8BdtapLa2WVJZDWH0tdxu9sSsizuJDUqXk28dPoUz4A5 gbWWwecle0p/WM0gw7g95Q== 0001193805-03-001111.txt : 20031121 0001193805-03-001111.hdr.sgml : 20031121 20031121165829 ACCESSION NUMBER: 0001193805-03-001111 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20020319 FILED AS OF DATE: 20031121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KAPLAN DAFNA CENTRAL INDEX KEY: 0001270707 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-25170 FILM NUMBER: 031018743 MAIL ADDRESS: STREET 1: CH DES MOULINS 53 STREET 2: 1936 VERBIER CITY: SWITZERLAND STATE: V8 ZIP: 0000 ISSUER: 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 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KAPLAN THOMAS SCOTT CENTRAL INDEX KEY: 0001124803 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-25170 FILM NUMBER: 031018742 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/A 1 e300776_ex.xml X0201 3/A 2002-03-19 2002-05-21 0 0000933157 CADENCE RESOURCES CORP CDNR 0001124803 KAPLAN THOMAS SCOTT CH. DES MOULINS 53 1936 VERBIER V8 0 0 1 0 0001270707 KAPLAN DAFNA CH. DES MOULINS 53 1936 VERBIER V8 SWITZERLAND 0 0 1 0 COMMON STOCK, par value $0.01 per share 723334 I Through Electrum COMMON STOCK, par value $0.01 per share 330000 I Through LCM COMMON STOCK, par value $0.01 per share 330000 I Through Resources Warrants to purchase common stock 0.30 2002-04-15 2007-04-15 Common Stock 723334 I Through Electrum Warrants to purchase common stock 0.30 2002-04-15 2007-04-15 Common Stock 180000 I Through LCM Warrants to purchase common stock 0.30 2002-04-15 2007-04-15 Common Stock 180000 I Through Resources This amended Form 3 is being filed to amend the Form 3 filed May 21, 2002 by Thomas S. Kaplan, by adding Dafna Kaplan, Mr. Kaplan's wife, as a reporting person and reporting transactions involving shares of Common Stock of the Company held indirectly by Mrs. Kaplan. As a result of Mrs. Kaplan's possession of voting and dispositive power over shares of the Issuer held by LCM Holdings LDC ("LCM") on the date indicated in Item 2 above, Mrs. Kaplan may have been deemed a member of a "group" for purposes of Section 13(d) of the Exchange Act with Mr. Kaplan as of the date indicated in Item 2 above. Due to the nature of the amendments to the May 21, 2002 Form 3, the Reporting Persons deemed it advisable to amend and restate this Form 3 in its entirety. These securities are held through Electrum Capital LLC. Mr. Kaplan has sole voting and dispositive power over such securities. Each reporting person disclaims beneficial ownership over such securities for purposes of section 16 of the Exchange Act, except to the extent of their respective beneficial ownership over such securities as determined pursuant to Rule 16a-1(a)(2) of the Exchange Act. These securities are held through LCM. As of the date indicated in Item 2 above, Mrs. Kaplan had sole voting and dispositive power over such securities. Each reporting person disclaims beneficial ownership over such securities for purposes of section 16 of the Exchange Act, except to the extent of their respective beneficial ownership over such securities as determined in accordance with Rule 16a-1(a)(2) under the Exchange Act. These securities are held through Electrum Resources LLC. Mr. Kaplan has sole voting and dispositive power over such securities. Each reporting person disclaims beneficial ownership over such securities for purposes of section 16 of the Exchange Act, except to the extent of their respective beneficial ownership over such securities as determined in accordance with Rule 16a-1(a)(2) under the Exchange Act. Thomas S. Kaplan 2003-11-20 EX-99.1 3 e300776_ex99-1.txt JOINT FILER INFORMATION Joint Filer Information Name: Dafna Kaplan Address: Ch. des Moulins 53 1936 Verbier Switzerland Designated Filer: Thomas Scott Kaplan Issuer and Ticker Symbol: Cadence Resources Corporation (OTC BB: "CDNR") Date of Event Requiring Statement: March 19, 2002 Signature: /s/ Dafna Kaplan ---------------- -----END PRIVACY-ENHANCED MESSAGE-----