Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
WESTWATER RESOURCES, INC.
Report date December 05, 2016 · Filed December 07, 2016
Jointly reported with Resource Capital Fund V L.P., Resource Capital Associates V L.P.
Section 16 reporting ended · disclosed 2016-12-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Convertible LoanSEC Table II · derivative / convertible security · Conversion / exercise price $31.20 · Expires 2017-03-31 | Direct | Not disclosed |
Reported balance
After 2016-12-05 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2016-12-05 · Sale · Disposed Not disclosed · Balance Not disclosed F3: On December 5, 2016, RCF V entered into a Note Purchase Agreement pursuant to which RCF V sold in a private transaction $2.5 million in principal amount of the Note, plus $45,139 of accrued but unpaid interest on the principal amount sold. The Note Purchase Agreement provides for the sale by RCF V and purchase by the counterparty of the remaining $5,500,000 principal amount of the Note, subject to satisfaction of certain conditions, which conditions are not in the control of RCF V or the counterparty. F2: RCF V is party to a Loan Agreement dated November 13, 2013, with Uranium Resources, Inc. ("URI") providing for the issuance of debt convertible into shares of URI common stock. Prior to the transaction that is the subject of this Form 4, RCF V held a promissory note (the "Note") issued under the Loan Agreement with an outstanding principal amount of $8,000,000 which was convertible at any time into 256,410 shares of URI common stock. F1: The convertible loan is held by Resource Capital Fund V L.P. ("RCF V") of which Resource Capital Associates V L.P. is the general partner, and RCA V GP Ltd. is the general partner of Resource Capital Associates V L.P. RCA V GP Ltd. and Resource Capital Associates V L.P. exercise voting and dispositive power over the convertible loan held by RCF V. As a consequence, Resource Capital Associates V L.P. and RCA V GP Ltd. are indirect beneficial owners of the convertible loan pursuant to Rule 16a-1(a)(1) under the Securities Exchange Act of 1934. However, Resource Capital Associates V L.P. and RCA V GP Ltd. disclaim direct or indirect beneficial ownership of the convertible loan to the extent permissible pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934. |
Filing footnotes · ownership attribution and instrument terms
F1: The convertible loan is held by Resource Capital Fund V L.P. ("RCF V") of which Resource Capital Associates V L.P. is the general partner, and RCA V GP Ltd. is the general partner of Resource Capital Associates V L.P. RCA V GP Ltd. and Resource Capital Associates V L.P. exercise voting and dispositive power over the convertible loan held by RCF V. As a consequence, Resource Capital Associates V L.P. and RCA V GP Ltd. are indirect beneficial owners of the convertible loan pursuant to Rule 16a-1(a)(1) under the Securities Exchange Act of 1934. However, Resource Capital Associates V L.P. and RCA V GP Ltd. disclaim direct or indirect beneficial ownership of the convertible loan to the extent permissible pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934.
F2: RCF V is party to a Loan Agreement dated November 13, 2013, with Uranium Resources, Inc. ("URI") providing for the issuance of debt convertible into shares of URI common stock. Prior to the transaction that is the subject of this Form 4, RCF V held a promissory note (the "Note") issued under the Loan Agreement with an outstanding principal amount of $8,000,000 which was convertible at any time into 256,410 shares of URI common stock.
F3: On December 5, 2016, RCF V entered into a Note Purchase Agreement pursuant to which RCF V sold in a private transaction $2.5 million in principal amount of the Note, plus $45,139 of accrued but unpaid interest on the principal amount sold. The Note Purchase Agreement provides for the sale by RCF V and purchase by the counterparty of the remaining $5,500,000 principal amount of the Note, subject to satisfaction of certain conditions, which conditions are not in the control of RCF V or the counterparty.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 05, 2016 Filed Dec 7, 2016 22:48 UTC | WESTWATER RESOURCES, INC. URRE · Entity 6988 | SaleConvertible Loan · Derivative | Not disclosed | $2,545,139.00 Strike: $31.20 | $2,500,000.00 |
DisclosureSEC source: 0001144204-16-138434 · v454619_4.xml · derivative · entry 1 Resource Capital Fund V L.P. · CIK 0001465397 · 10% owner Resource Capital Associates V L.P. · CIK 0001499179 · 10% owner RCA V GP LTD. · CIK 0001499177 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 256,410 shares Expires 2017-03-31 F3 · kind: On December 5, 2016, RCF V entered into a Note Purchase Agreement pursuant to which RCF V sold in a private transaction $2.5 million in principal amount of the Note, plus $45,139 of accrued but unpaid interest on the principal amount sold. The Note Purchase Agreement provides for the sale by RCF V and purchase by the counterparty of the remaining $5,500,000 principal amount of the Note, subject to satisfaction of certain conditions, which conditions are not in the control of RCF V or the counterparty. F3 · reported_value: On December 5, 2016, RCF V entered into a Note Purchase Agreement pursuant to which RCF V sold in a private transaction $2.5 million in principal amount of the Note, plus $45,139 of accrued but unpaid interest on the principal amount sold. The Note Purchase Agreement provides for the sale by RCF V and purchase by the counterparty of the remaining $5,500,000 principal amount of the Note, subject to satisfaction of certain conditions, which conditions are not in the control of RCF V or the counterparty. F3 · price: On December 5, 2016, RCF V entered into a Note Purchase Agreement pursuant to which RCF V sold in a private transaction $2.5 million in principal amount of the Note, plus $45,139 of accrued but unpaid interest on the principal amount sold. The Note Purchase Agreement provides for the sale by RCF V and purchase by the counterparty of the remaining $5,500,000 principal amount of the Note, subject to satisfaction of certain conditions, which conditions are not in the control of RCF V or the counterparty. F2 · derivative.underlying_shares: RCF V is party to a Loan Agreement dated November 13, 2013, with Uranium Resources, Inc. ("URI") providing for the issuance of debt convertible into shares of URI common stock. Prior to the transaction that is the subject of this Form 4, RCF V held a promissory note (the "Note") issued under the Loan Agreement with an outstanding principal amount of $8,000,000 which was convertible at any time into 256,410 shares of URI common stock. F3 · valueOwnedAfter: On December 5, 2016, RCF V entered into a Note Purchase Agreement pursuant to which RCF V sold in a private transaction $2.5 million in principal amount of the Note, plus $45,139 of accrued but unpaid interest on the principal amount sold. The Note Purchase Agreement provides for the sale by RCF V and purchase by the counterparty of the remaining $5,500,000 principal amount of the Note, subject to satisfaction of certain conditions, which conditions are not in the control of RCF V or the counterparty. F1 · ownership.direct: The convertible loan is held by Resource Capital Fund V L.P. ("RCF V") of which Resource Capital Associates V L.P. is the general partner, and RCA V GP Ltd. is the general partner of Resource Capital Associates V L.P. RCA V GP Ltd. and Resource Capital Associates V L.P. exercise voting and dispositive power over the convertible loan held by RCF V. As a consequence, Resource Capital Associates V L.P. and RCA V GP Ltd. are indirect beneficial owners of the convertible loan pursuant to Rule 16a-1(a)(1) under the Securities Exchange Act of 1934. However, Resource Capital Associates V L.P. and RCA V GP Ltd. disclaim direct or indirect beneficial ownership of the convertible loan to the extent permissible pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.