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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who 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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
15% convertible note | $ 0.04 | 07/24/2012 | C(2) | 625,000 | 07/24/2012 | 06/30/2013 | Common | 625,000 | $ 25,000 | 0 | I | By 864930 B.C. Ltd. | |||
15% convertible note | $ 0.04 | 07/24/2012 | C(3) | 85,274 | 07/24/2012 | 06/30/2013 | Common | 85,274 | $ 3,410.96 | 0 | I | By 864930 B.C. Ltd. | |||
Non-transferable common share warrants | $ 0.02 | 06/21/2013 | C(4) | 953,644 | 06/21/2013 | 06/21/2016 | Common | 953,644 | (4) | 953,644 | I | By 864930 B.C. Ltd. |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Beaty Ross J 1550 - 625 HOWE STREET VANCOUVER, BRITISH COLUMBIA, A1 V6C 2T6 |
X |
/s/ Ross Beaty | 06/25/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The 20% promissory note was granted alongside 953,644 non-transferrable common share warrants for Nord Resources Corporation in exchange for cancelling the July 24, 2012 15% convertible note, including all principal and interest outstanding. |
(2) | The 15% convertible note was cancelled on June 21, 2013 in exchange for a promissory note dated June 21, 2013 and the grant of 953,644 non-transferable common shares warrants. |
(3) | This figure corresponded to the accrued interest on the 15% convertible note as of June 20, 2013, which was also cancelled on June 21, 2013 in exchange for the same promissory note dated June 21, 2013 mentioned above. |
(4) | The warrants were granted alongside the 20% promissory note in exchange for the cancellation of the 15% convertible note and the interest outstanding on that note as of June 20, 2013. |