AUGUSTA RESOURCE CORPORATION
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(Name of Issuer)
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COMMON SHARES
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(Title of Class of Securities)
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050912203
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(CUSIP Number)
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December 31, 2012
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(Date of Event Which Requires Filing of This Statement)
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CUSIP No. 050912203 | 13G | Page 2 of 7 Pages |
1
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NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
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Richard W. Warke
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) ý
(b) o
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||
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3
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SEC USE ONLY
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||
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|||
4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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||
Canadian
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5
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SOLE VOTING POWER
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||
NUMBER OF
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10,065,999 + 560,000 stock options + 98,668 restricted share units*
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||
SHARES
|
6
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SHARED VOTING POWER
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BENEFICIALLY
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9,724,025 common shares*
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OWNED BY
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7
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SOLE DISPOSITIVE POWER
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|
EACH
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10,065,999 + 560,000 stock options + 98,668 restricted share units*
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REPORTING
|
8
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SHARED DISPOSITIVE POWER
|
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PERSON WITH
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9,724,025 common shares*
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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10,790,024 common shares + 560,000 stock options + 98,668 restricted shares units*
1,065,999 common shares held directly;
267,344 common shares held indirectly through Augusta Capital Corporation;
9,456,681 common shares held indirectly through Augusta Investments Inc.
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10
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* o
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
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7.9095%**
**Based on 144,086,728 common shares outstanding as of December 31, 2012 plus 658,668 common shares in aggregate underlying convertible securities which are beneficially owned by the reporting person and included pursuant to Rule 13d-3(d)(1)(i) of the Act.
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12 |
TYPE OF REPORTING PERSON*
IN
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CUSIP No. 050912203 | 13G | Page 3 of 7 Pages |
1
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NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
|
||
Augusta Capital Corporation
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) ý
(b) o
|
||
|
|||
3
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SEC USE ONLY
|
||
|
|||
4
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CITIZENSHIP OR PLACE OF ORGANIZATION
|
||
British Columbia, Canada
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|||
5
|
SOLE VOTING POWER
|
||
NUMBER OF
|
267,344 common shares
|
||
SHARES
|
6
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SHARED VOTING POWER
|
|
BENEFICIALLY
|
0
|
||
OWNED BY
|
7
|
SOLE DISPOSITIVE POWER
|
|
EACH
|
267,344 common shares
|
||
REPORTING
|
8
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SHARED DISPOSITIVE POWER
|
|
PERSON WITH
|
0
|
||
9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
||
267,344 common shares*
*Augusta Capital Corporation holds 267,344 common shares.
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10
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* o
|
||
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|||
11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
|
||
0.1855%. Based on 144,086,728 common shares outstanding as of December 31, 2012.
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12 |
TYPE OF REPORTING PERSON*
CO
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CUSIP No. 050912203 | 13G | Page 4 of 7 Pages |
1
|
NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
|
||
Augusta Investments Inc.
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) ý
(b) o
|
||
|
|||
3
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SEC USE ONLY
|
||
|
|||
4
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CITIZENSHIP OR PLACE OF ORGANIZATION
|
||
British Columbia, Canada
|
|||
5
|
SOLE VOTING POWER
|
||
NUMBER OF
|
9,456,681 common shares
|
||
SHARES
|
6
|
SHARED VOTING POWER
|
|
BENEFICIALLY
|
0
|
||
OWNED BY
|
7
|
SOLE DISPOSITIVE POWER
|
|
EACH
|
9,456,681 common shares
|
||
REPORTING
|
8
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SHARED DISPOSITIVE POWER
|
|
PERSON WITH
|
0
|
||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
||
9,456,681 common shares
|
|||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* o
|
||
|
|||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
|
||
6.5632%. Based on 144,086,728 common shares outstanding as of December 31, 2012.
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12 |
TYPE OF REPORTING PERSON*
CO
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CUSIP No. 050912203 | 13G | Page 5 of 7 Pages |
Item 3.
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If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:
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(a)
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o |
Broker or dealer registered under Section 15 of the Act;
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(b)
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o |
Bank as defined in Section 3(a)(6) of the Act;
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(c)
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o |
Insurance Company as defined in Section 3(a)(19) of the Act;
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(d)
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o |
Investment Company registered under Section 8 of the Investment Company Act;
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(e)
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o |
Investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
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(f)
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o |
Employee benefit plan or endowment plan in accordance with Rule 13d-1(b)(1)(ii)(F);
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(g)
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o |
Parent holding company or control person, in accordance with Rule 13d-1(b)(1)(ii)(G);
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(h)
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o |
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act;
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(i)
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o |
A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940:
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(j)
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o |
Group, in accordance with Rule 13d-1(b)(1)(ii)(j).
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o |
If this statement is filed pursuant to Rule 13d-1(c), check this box.
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CUSIP No. 050912203 | 13G | Page 6 of 7 Pages |
Item 4.
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Ownership.
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Provide the following information regarding the aggregate number and percentage of the class of securities identified in Item 1.
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(a)
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Amount beneficially owned:
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See Item 9 on the cover page
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(b)
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Percent of class:
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See Item 11 on the cover page
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(c)
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Number of shares as to which such person has:
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Item 5.
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Ownership of Five Percent or Less of a Class.
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If the statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following o.
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Item 6.
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Ownership of More than Five Percent on Behalf of Another Person.
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N/A
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Item 7.
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company.
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N/A
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Item 8.
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Identification and Classification of Members of the Group.
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N/A
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Item 9.
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Notice of Dissolution of Group.
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N/A
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Item 10.
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Certification.
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N/A
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CUSIP No. 050912203 | 13G | Page 7 of 7 Pages |
February 13, 2013
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(Date)
|
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"Richard W. Warke" | |
Richard Warke
|
|
February 13, 2013
|
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Augusta Capital Corporation | |
By: | "Richard W. Warke" |
Richard Warke, President |
February 13, 2013
|
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Augusta Investments Inc. | |
By: | "Richard W. Warke" |
Richard Warke, President |