-----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, Aefdw/JdxTBsobqTLwSUQI+h5ybOd0NH7+N9z5dUEXGTo1FtuSWEh8dK7EWEQz9U 6ybNNrl5fbrxPz8SsewtNA== 0001193805-04-000255.txt : 20040213 0001193805-04-000255.hdr.sgml : 20040213 20040212192151 ACCESSION NUMBER: 0001193805-04-000255 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20040213 GROUP MEMBERS: DAFNA KAPLAN SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TREND MINING CO CENTRAL INDEX KEY: 0001115954 STANDARD INDUSTRIAL CLASSIFICATION: METAL MINING [1000] IRS NUMBER: 810304651 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-59667 FILM NUMBER: 04593851 BUSINESS ADDRESS: STREET 1: 401 FRONT AVENUE STREET 2: SUITE 1 CITY: COEUR D'ALENE STATE: ID ZIP: 83814 BUSINESS PHONE: 2086648095 MAIL ADDRESS: STREET 1: 410 FRONT AVENUE, SUITE 1 STREET 2: SUITE 1 CITY: COEUR D'ALENE STATE: ID ZIP: 83814 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KAPLAN THOMAS SCOTT CENTRAL INDEX KEY: 0001124803 FILING VALUES: FORM TYPE: SC 13D/A 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 SC 13D/A 1 e400118_sc13da-trendmining.txt AMENDMENT NO. 4 TO SCHEDULE 13D ================================================================================ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* TREND MINING COMPANY - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $0.01 par value per share - -------------------------------------------------------------------------------- (Title of Class of Securities) - -------------------------------------------------------------------------------- (CUSIP Number) Mr. Thomas S. Kaplan c/o William Natbony, Esq. Katten Muchin Zavis Rosenman 575 Madison Avenue New York, NY 10022 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) February 12, 2004 - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of ss.ss.240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. |_| * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Thomas Scott Kaplan - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |X| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* N/A - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |_| - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 14,567,854 (comprised of 1,000,000 shares held by Tigris Financial Group Ltd., 12,219,751 shares held by Electrum LLC and 1,348,103 shares held by LCM Holdings LDC) ----------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 0 OWNED BY ----------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON 14,567,854 (comprised of 1,000,000 shares held WITH by Tigris Financial Group Ltd., 12,219,751 shares held by Electrum LLC and 1,348,103 shares held by LCM Holdings LDC) ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 14,567,854 (comprised of 1,000,000 shares held by Tigris Financial Group Ltd., 12,219,751 shares held by Electrum LLC and 1,348,103 shares held by LCM Holdings LDC) - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 35.0% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Dafna Kaplan - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |X| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* n/a - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |_| - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Israel - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 ----------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 0 OWNED BY ----------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON 0 WITH ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! This Amendment No. 4 amends the statement on Schedule 13D (the "Schedule 13D") filed on October 4, 2000, by Thomas Scott Kaplan, as amended by Amendment No. 1 filed on February 14, 2001, Amendment No. 2 filed on May 23, 2001, and Amendment No. 3 filed by Mr. Kaplan and his wife Dafna Kaplan on November 21, 2003, relating to shares of Common Stock, par value $0.01 per share ("Common Stock") of Trend Mining Company (the "Company"). The purpose of this Amendment No. 4 is (i) to report, and to reflect certain changes in Mr. Kaplan's beneficial ownership resulting from, the readjustment of the terms of certain loans and warrants and (ii) to report an acquisition of shares by an entity controlled at the time by Mrs. Kaplan which had been erroneously omitted from the Kaplans' Schedule 13D, as amended. All capitalized terms used but not otherwise defined herein shall have the meanings ascribed to such terms in the Schedule 13D, as amended to date. Item 3. Source and Amount of Funds or Other Consideration Item 3 is hereby amended as follows: On October 10, 2002, LCM acquired 370,000 shares of Common Stock from the Company for an aggregate purchase price of $37,000. The source of the funds used by LCM was working capital. Item 5. Interest in Securities of the Issuer Items 5(a) and 5(b) are hereby amended and restated to read as follows: (a) As of February 12, 2004, Mr. Kaplan beneficially owns 14,567,854 shares of Common Stock, comprised of: (i) An aggregate of 12,219,751 shares held by Electrum consisting of (1) 4,307,488 shares of Common Stock held outright; (2) 6,279,761 shares underlying Common Stock purchase warrants which are excercisable at an exercise price of $0.40 per share, (3) 670,000 shares underlying Common Stock purchase warrants which are exercisable at an exercise price of $1.50 per share, and (4) 481,251 shares of Common Stock and 481,251 shares underlying warrants which are exercisable at an exercise price of $1.50 per share, which shares and warrants are issuable to Electrum upon conversion of convertible debt held by Electrum. As sole voting trustee pursuant to a voting trust agreement with Electrum, Mr. Kaplan is deemed to beneficially own the foregoing securities for purposes of Section 13(d) of the Exchange Act; (ii) 1,000,000 shares of Common Stock held by Tigris. As the sole stockholder of Tigris, Mr. Kaplan is deemed to beneficially own such shares for purposes of Section 13(d) of the Exchange Act; (iii) An aggregate of 1,348,103 shares held by LCM consisting of (1) 900,174 shares of Common Stock held outright; (2) 113,413 shares of Common Stock underlying Common Stock purchase warrants which are exercisable at an exercise price of $1.50 per share; and (3) 167,258 shares of Common Stock and an additional 167,258 shares of Common Stock underlying Common Stock purchase warrants which are exercisable at an exercise price of $1.50 per share, which shares and warrants are issuable to LCM upon conversion of convertible debt held by LCM. As sole voting trustee pursuant to a voting trust agreement with LCM, Mr. Kaplan is deemed to beneficially own the foregoing securities for purposes of Section 13(d) of the Exchange Act. Based upon 33,229,085 shares of Common Stock outstanding as of January 14, 2004, as reported in the Company's Form 10-KSB for the fiscal year ending September 30, 2003, the foregoing shares of Common Stock that may be deemed to be beneficially owned by the Mr. Kaplan , in the aggregate, constitute approximately 35.0% of the shares of Common Stock outstanding (assuming conversion of all warrants, convertible debt and warrants underlying convertible debt beneficially owned by Mr. Kaplan). From and after August 27, 2003, Mrs. Kaplan beneficially owns no shares of Common Stock. (b) Mr. Kaplan has the sole power to vote or direct the vote and sole power to dispose of the shares that are held by Tigris, Electrum and LCM, except that, until August 27, 2003, Mrs. Kaplan held such sole power with respect to the shares held by LCM. Item 5(c) is hereby amended as follows: (c) Set forth below are all transactions of the Reporting Persons reportable under Section 5(c) of Schedule 13D not previously reported in the Schedule 13D. All transactions reported below were effected by the Reporting Persons through LCM. All such transactions were with the Company. On October 10, 2002, LCM acquired 370,000 shares of Common Stock for an aggregate purchase price of $37,000. On February 12, 2004, pursuant to an Amended Loan and Warrant Agreement with the Company, LCM and Electrum agreed to adjust the conversion terms of the convertible debt and certain warrants held by LCM and Electrum. LCM and Electrum also agreed to waive past due interest payments on the notes totaling approximately $130,000 as of 10/31/03. The convertible debt, previously convertible at $0.50 per unit, will now be convertible at $1.25 per unit, each unit consisting of one share and one warrant exercisable at $1.50. In addition, the exercise price of all warrants issued in connection with the convertible debt was increased to $1.50 per share and the expiration dates of all warrants issued before January 30, 2002 in connection with convertible debt were accelerated by one year. Also on such date, Trend elected to repay $68,435.36 due under the convertible debt held by Electrum and $23,784.67 due under the convertible debt held by LCM. Item 5(d) is hereby amended and restated to read as follows: (d) The Trust has the right to receive dividends from, and the proceeds from the sale of the shares of Common Stock held by LCM and Electrum. Until August 27, 2003, Mrs. Kaplan, as the sole shareholder of Electrum and LCM, had the right to receive dividends from, and the proceeds from the sale of all such shares. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer Paragraph 15 of Item 6 is hereby supplemented and amended as follows: (15) On February 12, 2004, pursuant to an Amended Loan and Warrant Agreement with the Company, LCM and Electrum agreed to adjust the conversion terms of the convertible debt and certain warrants held by LCM and Electrum. The shareholders also agreed to waive past due interest payments on the notes totaling approximately $130,000 as of 10/31/03. The convertible debt, previously convertible at $0.50 per unit, will now be convertible at $1.25 per unit, each unit consisting of one share and one warrant exercisable at $1.50. In addition, the exercise price of all warrants issued in connection with the convertible debt was increased to $1.50 per share and the expiration dates of all warrants issued before January 30, 2002 in connection with convertible debt were accelerated by one year. Also on such date, Trend elected to repay $68,435 due under the convertible debt held by Electrum and $23,785 due under the convertible debt held by LCM. The following paragraph is hereby added at the end of Item 6: (16) On February 12, 2004, Mr. Kaplan and the Company reached a settlement for the disgorgement of $210,194 of short-swing profits, the maximum amount that might be recoverable by the Company under Section 16(b) of the Exchange Act as a result of deemed acquisitions of shares of Common Stock underlying convertible debt by LCM and Electrum that occurred within six months of dispositions of shares and warrants by LCM and Electrum. Item 7. Material to be filed as Exhibits Item 7 is hereby amended and restated to read as follows: Exhibit 1: Voting Trust Agreement, dated March 31, 2000, between Mr. Kaplan and Electrum LLC (incorporated by reference to Mr. Kaplan's Schedule 13D filed with the Securities and Exchange Commission on October 4, 2000) Exhibit 2: Amendment to Voting Trust Agreement, dated March 30, 2001, between Mr. Kaplan and Electrum LLC (incorporated by reference to Mr. Kaplan's Schedule 13D filed with the Securities and Exchange Commission on May 23, 2001) Exhibit 3: Voting Trust Agreement, dated August 27, 2003, between Mr. Kaplan and LCM Holdings LDC (incorporated by reference to Mr. Kaplan's Schedule 13D filed with the Securities and Exchange Commission on November 21, 2003) Exhibit 4: Amended Loan and Warrant Agreement, dated as of February 12, 2004, between Electrum LLC, LCM Holdings LDC and Trend Mining Company. SIGNATURE After reasonable inquiry and to the best of their knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Dated: February 12, 2004 /s/ Thomas S. Kaplan -------------------- Thomas Scott Kaplan /s/ Dafna Kaplan ---------------- Dafna Kaplan Joint Filing Agreement In accordance with Rule 13d-1(f) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing on behalf of each of them of a statement on Schedule 13D (including amendments thereto) with respect to the Common Stock, par value $0.01 per share, of Trend Mining Company, and that this Agreement be included as an Exhibit to such joint filing. This Agreement may be executed in any number of counterparts all of which taken together shall constitute one and the same instrument. In witness whereof, the undersigned hereby execute this Agreement this 12th day of February, 2004. /s/ Thomas S. Kaplan -------------------- Thomas S. Kaplan /s/ Dafna Kaplan ---------------- Dafna Kaplan EX-99.4 3 e400118_ex99-4.txt AMENDED LOAN AND WARRANT AGREEMENT AMENDED LOAN AND WARRANT AGREEMENT THIS AGREEMENT, calling for the adjustment of certain loan and warrant terms (the "Agreement"), is made and entered into as of the 12th day of February, 2004 (the "Effective Date") by and between Electrum, LLC ("Electrum"), LCM Holdings LDC ("LCM" and together with Electrum, the "Lenders "), and Trend Mining Company, a Delaware corporation ("Trend"). RECITALS WHEREAS: Trend and Electrum have heretofore entered into that certain Loan Facility Agreement dated December 6, 2000 (the "Loan Facility"), pursuant to which Electrum agreed to lend certain sums of money to Trend as requested pursuant to the terms of the Loan Facility; and WHEREAS: Trend and Electrum have entered into those certain loan letter agreements (the "Electrum Letter Agreements"), pursuant to which Electrum loaned Trend certain additional sums of money as detailed on Appendix A hereto; and WHEREAS: Trend and LCM have heretofore entered into that certain letter agreement dated October 22, 2001 (the "October LCM Letter Agreement") pursuant to which LCM loaned Trend certain sums of money; and WHEREAS: pursuant to the Loan Facility, the Electrum Letter Agreements and the October LCM Letter Agreements, Trend granted the Lenders certain warrants to purchase Trend's common stock, $0.01 par value per share (the "Common Stock"), for $1.50 per share (the "Warrant Strike Price"); and WHEREAS: pursuant to the Loan Facility, the Electrum Letter Agreements and the October LCM Letter Agreements, the Lenders were given the option to convert each $1.25 of outstanding debt (the "Conversion Price"), into one unit comprised of one share of Common Stock and one warrant to purchase a share of Common Stock for $1.50 (the "Unit Warrant Strike Price"); and WHEREAS: Trend and the Lenders entered into that certain Financing Agreement, dated January 30, 2002 (the "Financing Agreement"), pursuant to which Trend agreed to (i) reduce the Warrant Strike Price to $1.00 in respect of all warrants held by the Lenders on the date thereof, (ii) reduce the Conversion Price to $.50 in respect of all debt to the Lenders existing on the date thereof and (iii) reduce the Unit Warrant Strike Price to $1.00 in respect of all debt to the Lenders existing on the date thereof; and WHEREAS: In connection with the Financing Agreement, Electrum loaned the Company an additional $150,000 with the conversion feature set forth in the Financing Agreement and outlined above and was granted 150,000 Warrants with the terms set forth in the Financing Agreement and outlined above; and WHEREAS: Trend and LCM entered into that certain letter agreement dated June 27, 2002 (the "June LCM Letter Agreement" and together with the LCM Letter Agreement, the "LCM Letter Agreements") pursuant to which LCM loaned Trend certain sums of money in exchange for (i) warrants with a Warrant Strike Price of $.50, (ii) an option to convert the loan at a Conversion Price of $.50 into a unit consisting of one share of Common Stock and one warrant with a Unit Warrant Strike Price of $.50; and WHEREAS: Pursuant to a Settlement Agreement (the "Settlement Agreement") dated as of even date herewith, an aggregate of $160,194 of the Debt (as defined below) was cancelled, the Kaplan Parties (as defined in the Settlement Agreement) paid $50,000 in cash to Trend, and LCM and Electrum waived Trend's default up to the date hereof under the Loan Facility, the Electrum Letter Agreements, the LCM Letter Agreements and the Financing Agreement; and WHEREAS: Trend and the Lenders wish to re-price the Warrant Strike Price on all warrants held by the Lenders under the Loan Facility, the Electrum Letter Agreements, the LCM Letter Agreements and the Financing Agreement, as detailed on Appendix B hereto (the "Warrants"); and WHEREAS: Trend and the Lenders wish to re-price the Conversion Price and the Unit Warrant Strike Price in respect of all existing debt to the Lenders pursuant to the Loan Facility, the Electrum Letter Agreements, the LCM Letter Agreements and the Financing Agreement as detailed on Appendix A hereto (the "Debt"). AGREEMENT NOW THEREFORE, for good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged by Trend and Electrum Group, the parties hereby agree as follows: 1) Concurrently with the execution of this Agreement, Trend has repaid $92,220.03 of the Debt, in the amount of $68,435.36 to Electrum and $23,784.67 to LCM. 2) This Agreement hereby amends and supercedes the Loan Facility, Electrum Letter Agreements, the LCM Letter Agreements and the Financing Agreement with respect to the (i) Conversion Price with respect to the Debt, (ii) the Warrant Strike Price and (iii) the Unit Warrant Strike Price with respect to the Debt. 3) The Conversion Price on all Debt is $1.25. 4) Each Unit will consist of one share and one warrant with the warrant being exercisable for a period of five years from the date of conversion and exercisable at a price of $1.50. 5) The outstanding Warrants detailed in Appendix B shall be exercisable at a price of $1.50. 6) Trend and Electrum agree that the warrants detailed by Appendix B are as of this date null and void and Trend hereby agrees to expeditiously issue new warrant certificates reflecting the revised terms as outlined in Appendix B. 7) Except as set forth above, the terms of the Loan Facility, Electrum Letter Agreements, the LCM Letter Agreements and the Financing Agreement shall remain in full force and effect. IN WITNESS WHEREOF, the Parties hereto have executed this Agreement and made it effective as of the date first written above. ELECTRUM, LLC TREND MINING COMPANY, a Delaware corporation By: /s/ Vijayabalan Murugesu By: /s/ John Ryan ------------------------ ------------- Name: Vijayabalan Murugesu John Ryan Title: Director Vice President LCM HOLDINGS, LDC. By: /s/ Sean Hanna -------------- Name: Sean Hanna Title: Director Appendix "A" Amounts Loaned by Electrum and LCM Party Date Amount Principal Balance - ----- ---- ------ ----------------- Electrum 11/06/2000 35,000.00 35,000.00 12/04/2000 100,000.00 135,000.00 12/18/2000 50,000.00 185,000.00 01/26/2001 50,000.00 235,000.00 03/15/2001 50,000.00 285,000.00 04/10/2001 50,000.00 335,000.00 05/04/2001 50,000.00 385,000.00 06/04/2001 50,000.00 435,000.00 07/03/2001 85,000.00 520,000.00 01/31/2002 150,000.00 150,000.00 ----------- ----------- Total Electrum 670,000.00 670,000.00 LCM Holdings 10/26/2001 50,000.00 50,000.00 11/01/2001 10,000.00 60,000.00 11/15/2001 30,000.00 90,000.00 11/28/2001 29,445.12 119,445.12 05/07/2002 60,000.00 60,000.00 05/22/2002 35,000.00 35,000.00 06/14/2002 18,413.00 18,413.00 ----------- ----------- Total LCM Holdings 232,858.12 232,858.12 Repaid to Electrum 02/12/2004 68,435.36 Repaid to LCM 02/12/2004 23,784.67 Total all Loans $902,858.12 $810,638.09 Appendix "B" Warrant Schedule for Electrum and LCM
- -------------------------------------------------------------------------------------------------------------- Previous Exp. Previous Price per New Price per Issued to # Shares Date New Exp. Date Share Share - --------- -------- ---- ------------- ----- ----- - -------------------------------------------------------------------------------------------------------------- Electrum 285,000 09/30/07 09/30/06 $1.00 $1.50 - -------------------------------------------------------------------------------------------------------------- Electrum 50,000 09/30/07 09/30/06 $1.00 $1.50 - -------------------------------------------------------------------------------------------------------------- Electrum 185,000 09/30/07 09/30/06 $1.00 $1.50 - -------------------------------------------------------------------------------------------------------------- Electrum 150,000 01/30/07 01/30/07 $1.00 $1.50 - -------------------------------------------------------------------------------------------------------------- LCM Holdings LDC 50,000 01/09/05 01/09/04 $1.00 $1.50 - -------------------------------------------------------------------------------------------------------------- LCM Holdings LDC 10,000 01/09/05 01/09/04 $1.00 $1.50 - -------------------------------------------------------------------------------------------------------------- LCM Holdings LDC 30,000 01/09/05 01/09/04 $1.00 $1.50 - -------------------------------------------------------------------------------------------------------------- LCM Holdings LDC 29,445 01/09/05 01/09/04 $1.00 $1.50 - -------------------------------------------------------------------------------------------------------------- LCM Holdings LDC 113,413 06/27/07 06/27/07 $1.00 $1.50 - --------------------------------------------------------------------------------------------------------------
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