Small Company Offering and Sale of Securities Without Registration (d)
February 12 2021 - 9:17AM
Edgar (US Regulatory)
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NoneEntity Type | 0001495651 | Ucore Uranium Inc. Birchpoint Capital Inc. |
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Corporation
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Limited Partnership
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Limited Liability Company
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General Partnership
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Business Trust
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Other |
| Name of Issuer |
Ucore Rare Metals Inc. |
| Jurisdiction of Incorporation/Organization |
| ALBERTA, CANADA |
| |
| Year of Incorporation/Organization |
| |
x
| Over Five Years Ago |
| |
o
| Within Last Five Years (Specify Year) | |
| |
o
| Yet to Be Formed | |
| 2. Principal Place of Business and Contact Information |
| Name of Issuer | |
| Ucore Rare Metals Inc. | |
| Street Address 1 | Street Address 2 |
| 210 WATERFRONT DRIVE, SUITE 106 | |
| City | State/Province/Country | ZIP/Postal Code | Phone No. of Issuer |
| BEDFORD | NOVA SCOTIA, CANADA | B4A 0H3 | 902-482-5214 |
| Last Name | First Name | Middle Name |
| Ryan | Pat | |
| Street Address 1 | Street Address 2 |
| 210 Waterfront Drive, Suite 106 | |
| City | State/Province/Country | ZIP/Postal Code |
| Bedford | NOVA SCOTIA, CANADA | B4A 0H3 |
| Relationship: |
x
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Johnson | Randy | |
| Street Address 1 | Street Address 2 |
| 210 Waterfront Drive, Suite 106 | |
| City | State/Province/Country | ZIP/Postal Code |
| Bedford | NOVA SCOTIA, CANADA | B4A 0H3 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Dostal | Dr. Jarda | |
| Street Address 1 | Street Address 2 |
| 210 Waterfront Drive, Suite 106 | |
| City | State/Province/Country | ZIP/Postal Code |
| Bedford | NOVA SCOTIA, CANADA | B4A 0H3 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Meister | Steven | |
| Street Address 1 | Street Address 2 |
| 210 Waterfront Drive, Suite 106 | |
| City | State/Province/Country | ZIP/Postal Code |
| Bedford | NOVA SCOTIA, CANADA | B4A 0H3 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Clarke | Geoff | |
| Street Address 1 | Street Address 2 |
| 210 Waterfront Drive, Suite 106 | |
| City | State/Province/Country | ZIP/Postal Code |
| Bedford | NOVA SCOTIA, CANADA | B4A 0H3 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Manuel | Peter | |
| Street Address 1 | Street Address 2 |
| 210 Waterfront Drive, Suite 106 | |
| City | State/Province/Country | ZIP/Postal Code |
| Bedford | NOVA SCOTIA, CANADA | B4A 0H3 |
| Relationship: |
x
| Executive Officer |
o
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Schrider | Mike | |
| Street Address 1 | Street Address 2 |
| 210 Waterfront Drive, Suite 106 | |
| City | State/Province/Country | ZIP/Postal Code |
| Bedford | NOVA SCOTIA, CANADA | B4A 0H3 |
| Relationship: |
x
| Executive Officer |
o
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
|
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| Agriculture | | Health Care |
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| Retailing |
| | Banking & Financial Services | |
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| Biotechnology |
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| Restaurants |
| |
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| Commercial Banking | |
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| Health Insurance | | Technology |
| |
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| Insurance | |
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| Hospitals & Physicians | |
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| Computers |
| |
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| Investing | |
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| Pharmaceuticals | |
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| Telecommunications |
| |
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| Investment Banking | |
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| Other Health Care | |
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| Other Technology |
| |
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| Pooled Investment Fund
| | | | | Travel |
| |
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| Other Banking & Financial Services |
o
| Manufacturing | |
o
| Airlines & Airports |
| | Real Estate | |
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| Lodging & Conventions |
| |
o
| Commercial | |
o
| Tourism & Travel Services |
| |
o
| Construction | |
o
| Other Travel |
| |
o
| REITS & Finance |
x
| Other |
| |
o
| Residential | |
| |
o
| Other Real Estate | |
|
o
| Business Services | |
| | Energy | |
| |
o
| Coal Mining | |
| |
o
| Electric Utilities | |
| |
o
| Energy Conservation | |
| |
o
| Environmental Services | |
| |
o
| Oil & Gas | |
| |
o
| Other Energy | |
| Revenue Range | Aggregate Net Asset Value Range |
|
o
| No Revenues |
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| No Aggregate Net Asset Value |
|
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| $1 - $1,000,000 |
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| $1 - $5,000,000 |
|
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| $1,000,001 - $5,000,000 |
o
| $5,000,001 - $25,000,000 |
|
o
| $5,000,001 - $25,000,000 |
o
| $25,000,001 - $50,000,000 |
|
o
| $25,000,001 - $100,000,000 |
o
| $50,000,001 - $100,000,000 |
|
o
| Over $100,000,000 |
o
| Over $100,000,000 |
|
x
| Decline to Disclose |
o
| Decline to Disclose |
|
o
| Not Applicable |
o
| Not Applicable |
| 6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply) |
|
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| Rule 504(b)(1) (not (i), (ii) or (iii)) |
o
| Rule 505 |
|
o
| Rule 504 (b)(1)(i) |
x
| Rule 506(b) |
|
o
| Rule 504 (b)(1)(ii) |
o
| Rule 506(c) |
|
o
| Rule 504 (b)(1)(iii) |
o
| Securities Act Section 4(a)(5) |
| |
o
| Investment Company Act Section 3(c) |
|
x
| New Notice | Date of First Sale | 2021-02-08 |
o
| First Sale Yet to Occur |
| Does the Issuer intend this offering to last more than one year? |
o
| Yes |
x
| No |
| 9. Type(s) of Securities Offered (select all that apply) |
|
o
| Pooled Investment Fund Interests |
x
| Equity |
|
o
| Tenant-in-Common Securities |
o
| Debt |
|
o
| Mineral Property Securities |
x
| Option, Warrant or Other Right to Acquire Another Security |
|
x
| Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
x
| Other (describe) |
| | Each Unit consists of 1 cm sh & 1/2 cm sh purchase wrt. Each whole wrt entitles the holder to purchase 1 cm sh at a price of CDN$1.50 per cm sh for a period of 36 months from the closing date, subject to adjustment upon certain events. |
| 10. Business Combination Transaction |
| Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
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| Yes |
x
| No |
| |
| Clarification of Response (if Necessary) | |
| |
| Minimum investment accepted from any outside investor | $ 0 USD |
| Recipient | Recipient CRD Number |
o
| None |
| | |
| (Associated) Broker or Dealer |
o
| None | (Associated) Broker or Dealer CRD Number |
o
| None |
| | |
| Street Address 1 | Street Address 2 |
| | |
| City | State/Province/Country | ZIP/Postal Code |
| | | |
| State(s) of Solicitation |
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| All States |
| |
| |
| 13. Offering and Sales Amounts |
| Total Offering Amount | $ 58317 USD |
o
Indefinite |
| Total Amount Sold | $ 33324 USD | |
| Total Remaining to be Sold | $ 24993 USD |
o
Indefinite |
| |
| Clarification of Response (if Necessary) |
| "Total Remaining to be Sold" is the aggregate purchase price of shares underlying warrants sold in this offering. U.S. dollar amounts are based on the Bank of Canada exchange rate 0.7841 reported on February 8, 2021. |
|
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| Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering
| |
| | Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: | 2 |
| 15. Sales Commissions & Finders’ Fees Expenses |
Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
|
| Sales Commissions | $ 0 USD |
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| Estimate |
| Finders' Fees | $ 0 USD |
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| Estimate |
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| Clarification of Response (if Necessary) |
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Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
|
| | $ 0 USD |
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