-----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, F5Pi/LkbSU2srQ3O2d2jfo4MPtodkKzKJ32OKma2ZggrnhXJJqpn2hsNNVn6zqkS opVkf7IBxTmL4EWojOegWA== 0001358828-09-000004.txt : 20091001 0001358828-09-000004.hdr.sgml : 20091001 20091001155009 ACCESSION NUMBER: 0001358828-09-000004 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20091001 DATE AS OF CHANGE: 20091001 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Kimber Resources Inc. CENTRAL INDEX KEY: 0001294662 STANDARD INDUSTRIAL CLASSIFICATION: MINING, QUARRYING OF NONMETALLIC MINERALS (NO FUELS) [1400] IRS NUMBER: 000000000 STATE OF INCORPORATION: A1 FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-81581 FILM NUMBER: 091098741 BUSINESS ADDRESS: STREET 1: 215-800 WEST PENDER STREET CITY: VANCOUVER STATE: A1 ZIP: V6C 2V6 BUSINESS PHONE: 604-669-2251 MAIL ADDRESS: STREET 1: 215-800 WEST PENDER STREET CITY: VANCOUVER STATE: A1 ZIP: V6C 2V6 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Puplava Financial Services, Inc. CENTRAL INDEX KEY: 0001358828 IRS NUMBER: 330086182 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 10809 THORNMINT ROAD STREET 2: 2ND FLOOR CITY: SAN DIEGO STATE: CA ZIP: 92127 BUSINESS PHONE: 858-487-3939 MAIL ADDRESS: STREET 1: PO BOX 503147 CITY: SAN DIEGO STATE: CA ZIP: 92150 FORMER COMPANY: FORMER CONFORMED NAME: Puplava Financial Services DATE OF NAME CHANGE: 20060410 SC 13D/A 1 kimber092909.txt SCHEDULE 13D/A HOLDINGS REPORT SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4) KIMBER RESOURCES INC. (Name of Issuer) Common Shares, no par value (Title of class of securities) 49435N101 (CUSIP number) James J. Puplava 10809 Thornmint Road, 2nd Floor San Diego, CA 92127 (858) 487 - 3939 (Name, address and telephone number of person authorized to receive notices and communications) September 29, 2009 (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 which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box [_]. Note: When filing this statement in paper format, six copies of this statement, including exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. CUSIP No. 49435N101 1 NAME OF REPORTING PERSON: James J. Puplava S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: ____________** 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [x] (b) [_] 3 SEC USE ONLY 4 SOURCE OF FUNDS: PF; AF 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e): [_] 6 CITIZENSHIP OR PLACE OF ORGANIZATION: United States NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER 5,640,956 9 SOLE DISPOSITIVE POWER: 0 10 SHARED DISPOSITIVE POWER 5,640,956 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 5,640,956 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [X] 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 9.07% 14 TYPE OF REPORTING PERSON: IN CUSIP No. 49435N101 1 NAME OF REPORTING PERSON: Mary Puplava S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: ____________** 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [x] (b) [_] 3 SEC USE ONLY 4 SOURCE OF FUNDS: PF; AF 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e): [_] 6 CITIZENSHIP OR PLACE OF ORGANIZATION: United States NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER 5,640,956 9 SOLE DISPOSITIVE POWER: 0 10 SHARED DISPOSITIVE POWER 5,640,956 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 5,640,956 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [X] 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 9.07% 14 TYPE OF REPORTING PERSON: IN CUSIP No. 49435N101 1 NAME OF REPORTING PERSON: Puplava Financial Services, Inc. S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: ____________** 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [x] (b) [_] 3 SEC USE ONLY 4 SOURCE OF FUNDS: WC 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e): [_] 6 CITIZENSHIP OR PLACE OF ORGANIZATION: California NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER 2,644,950 8 SHARED VOTING POWER 662,500 9 SOLE DISPOSITIVE POWER: 2,644,950 10 SHARED DISPOSITIVE POWER 662,500 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 3,307,450 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [X] 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 5.3% 14 TYPE OF REPORTING PERSON: IA CUSIP No. 49435N101 1 NAME OF REPORTING PERSON: Puplava Securities, Inc. S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: ____________** 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [x] (b) [_] 3 SEC USE ONLY 4 SOURCE OF FUNDS: WC 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e): [_] 6 CITIZENSHIP OR PLACE OF ORGANIZATION: California NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER 662,500 9 SOLE DISPOSITIVE POWER: 0 10 SHARED DISPOSITIVE POWER 662,500 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 662,500 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [X] 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 1.1% 14 TYPE OF REPORTING PERSON: BD CUSIP No. 49435N101 1 NAME OF REPORTING PERSON: Puplava Family Trust S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: ____________** 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [x] (b) [_] 3 SEC USE ONLY 4 SOURCE OF FUNDS: AF 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e): [_] 6 CITIZENSHIP OR PLACE OF ORGANIZATION: United States NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER 196,757 8 SHARED VOTING POWER 0 9 SOLE DISPOSITIVE POWER: 196,757 10 SHARED DISPOSITIVE POWER 0 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 196,757 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 0.3% 14 TYPE OF REPORTING PERSON: OO CUSIP No. 49435N101 This Amendment No. 4 ("Amendment No. 4") amends and supplements the Statement on Schedule 13D dated September 26, 2006, as amended by Amendment No. 1, dated October 23, 2006, Amendment No. 2 dated October 31, 2006, and amendment No. 3 dated March 2, 2007 (the "Statement") relating to the common shares, no par value (the "Shares"), of Kimber Resources Inc., a British Columbia corporation (the "Company"), and is filed by and on behalf of the undersigned reporting persons (collectively, the "Reporting Persons"). Unless otherwise defined herein, all capitalized terms used herein shall have the meanings previously ascribed to them in the previous filing of the Statement. ITEM 2. IDENTITY AND BACKGROUND The address of the Reporting Persons is: 10809 Thornmint Road, 2nd Floor, San Diego, California 92127. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a) As of the date of this statement, each of the Reporting Persons beneficially owned the Shares and the percentage of the outstanding Shares of the Company shown on their respective cover page, which information is incorporated by reference herein by such Reporting Person. The percentages shown are based on the number of shares shown as outstanding on the Company's balance sheet as of March 31, 2009 included in its Report on Form 6-K filed with the Securities and Exchange Commission on May 15, 2009. The Shares owned by James Puplava include 75,000 Shares that he may acquire upon the exercise of stock options, which are treated as outstanding for the purpose of determining the percentage of outstanding Shares that he and Mary Puplava own. The Shares shown in this Report as beneficially owned by the Reporting Persons do not include (a) 2,877,571 Shares owned by clients of Puplava Financial and held in accounts for which Puplava Financial has discretion to purchase and sell, and (b) 41,450 Shares owned by clients of Puplava Securities and held in accounts for which Puplava Securities has discretion to purchase and sell. Puplava Financial and Puplava Securities and the other Reporting Persons disclaim beneficial ownership of such Shares. (b) James J. Puplava and Mary Puplava are husband and wife, and may be deemed to beneficially own any Shares beneficially owned by the other. Mary Puplava holds 49,835 Shares in a revocable trust and 510,800 Shares in an IRA Account. 1,221,214 of the Shares beneficially owned by Mr. Puplava are held in a 401(k) plan through which Mr. Puplava has the power to purchase additional shares, and to vote and to sell shares held in the account. Mr. Puplava also holds 25,700 Shares in an IRA. Mr. and Mrs. Puplava also beneficially own 196,757 Shares held in the Puplava Family Trust of which they are trustees. The Shares beneficially owned by Mr. & Mrs. Puplava also include 254,200 shares held by Fig Tree Foundation, a private foundation. Mr. and Mrs. Puplava have the power to direct the voting and disposition of the Shares held by the foundation. Mr. and Mrs. Puplava have the power to control Puplava Financial and Puplava Securities in their capacities as shareholders, officers and directors of Puplava Financial and in their capacities as officers and directors of Puplava Securities, and can be deemed to beneficially own the Shares owned by those companies. (c) The Reporting Persons have not acquired or disposed of any Shares within the last 60 days (d) No other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the Shares reported in this Statement. (e) Not applicable. SIGNATURES After reasonable inquiry and to the best of their knowledge and belief, the undersigned certify that the information contained in this Statement is true, complete and correct. Dated: September 29, 2009 s/James J. Puplava James J. Puplava s/Mary Puplava Mary Puplava Puplava Financial Services, Inc. By: s/James J. Puplava James J. Puplava, President Puplava Securities, Inc. By: s/James J. Puplava James J. Puplava, President s/James J. Puplava James J. Puplava, Trustee Puplava Family Trust s/Mary Puplava Mary Puplava, Trustee Puplava Family Trust -----END PRIVACY-ENHANCED MESSAGE-----