Small Company Offering and Sale of Securities Without Registration (d)
September 24 2019 - 5:27PM
Edgar (US Regulatory)
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NoneEntity Type | 0001545620 | Plateau Uranium Inc. Macusani Yellowcake 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 |
Plateau Energy Metals Inc. |
| Jurisdiction of Incorporation/Organization |
| ONTARIO, CANADA |
| |
| Year of Incorporation/Organization |
| |
x
| Over Five Years Ago |
| |
o
| Within Last Five Years (Specify Year) | |
| |
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| Yet to Be Formed | |
| 2. Principal Place of Business and Contact Information |
| Name of Issuer | |
| Plateau Energy Metals Inc. | |
| Street Address 1 | Street Address 2 |
| SUITE 340 | 141 ADELAIDE STREET WEST |
| City | State/Province/Country | ZIP/Postal Code | Phone No. of Issuer |
| TORONTO | ONTARIO, CANADA | M5H 3L5 | (416) 360-3406 |
| Last Name | First Name | Middle Name |
| Holmes | Alexander | |
| Street Address 1 | Street Address 2 |
| Suite 340, 141 Adelaide Street West | |
| City | State/Province/Country | ZIP/Postal Code |
| Toronto | ONTARIO, CANADA | M5H 3L5 |
| Relationship: |
x
| Executive Officer |
x
| Director |
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| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Gibbs | Philip | |
| Street Address 1 | Street Address 2 |
| Suite 340, 141 Adelaide Street West | |
| City | State/Province/Country | ZIP/Postal Code |
| Toronto | ONTARIO, CANADA | M5H 3L5 |
| Relationship: |
x
| Executive Officer |
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| Director |
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| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Stefan | Lawrence | |
| Street Address 1 | Street Address 2 |
| Suite 340, 141 Adelaide Street West | |
| City | State/Province/Country | ZIP/Postal Code |
| Toronto | ONTARIO, CANADA | M5H 3L5 |
| Relationship: |
x
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| O'Connor | Ted | |
| Street Address 1 | Street Address 2 |
| Suite 340, 141 Adelaide Street West | |
| City | State/Province/Country | ZIP/Postal Code |
| Toronto | ONTARIO, CANADA | M5H 3L5 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Milau | Christian | |
| Street Address 1 | Street Address 2 |
| Suite 340, 141 Adelaide Street West | |
| City | State/Province/Country | ZIP/Postal Code |
| Toronto | ONTARIO, CANADA | M5H 3L5 |
| Relationship: |
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| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Belanger | Maryse | |
| Street Address 1 | Street Address 2 |
| Suite 340, 141 Adelaide Street West | |
| City | State/Province/Country | ZIP/Postal Code |
| Toronto | ONTARIO, CANADA | M5H 3L5 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Drier | Wayne | |
| Street Address 1 | Street Address 2 |
| Suite 340, 141 Adelaide Street West | |
| City | State/Province/Country | ZIP/Postal Code |
| Toronto | ONTARIO, CANADA | M5H 3L5 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Ferry | Alan | |
| Street Address 1 | Street Address 2 |
| Suite 340, 141 Adelaide Street West | |
| City | State/Province/Country | ZIP/Postal Code |
| Toronto | ONTARIO, CANADA | M5H 3L5 |
| Relationship: |
o
| Executive Officer |
x
| 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 |
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| Manufacturing | |
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| Airlines & Airports |
| | Real Estate | |
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| Lodging & Conventions |
| |
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| Commercial | |
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| Tourism & Travel Services |
| |
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| Construction | |
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| Other Travel |
| |
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| REITS & Finance |
x
| Other |
| |
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| Residential | |
| |
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| Other Real Estate | |
|
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| Business Services | |
| | Energy | |
| |
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| Coal Mining | |
| |
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| Electric Utilities | |
| |
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| Energy Conservation | |
| |
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| Environmental Services | |
| |
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| 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 |
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| $5,000,001 - $25,000,000 |
|
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| $5,000,001 - $25,000,000 |
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| $25,000,001 - $50,000,000 |
|
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| $25,000,001 - $100,000,000 |
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| $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) |
|
o
| 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 | 2019-09-17 |
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| First Sale Yet to Occur |
| Does the Issuer intend this offering to last more than one year? |
x
| Yes |
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| No |
| 9. Type(s) of Securities Offered (select all that apply) |
|
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| Pooled Investment Fund Interests |
x
| Equity |
|
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| Tenant-in-Common Securities |
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| Debt |
|
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| 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) |
| | Unit offering, each unit consisting of 1 common share and 1/2 of one common share purchase warrant; each whole warrant may be exercised for one common share at Cdn$0.50 through 9/17/2021 |
| 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 |
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| None |
| Haywood Securities (USA) Inc. | 42072 |
| (Associated) Broker or Dealer |
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| None | (Associated) Broker or Dealer CRD Number |
x
| None |
| Haywood Securities Inc. | |
| Street Address 1 | Street Address 2 |
| 200 Burrard Street, Suite 700 | |
| City | State/Province/Country | ZIP/Postal Code |
| Vancouver | BRITISH COLUMBIA, CANADA | V6C 3L6 |
| State(s) of Solicitation |
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| All States |
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| Foreign/Non-US |
CALIFORNIA
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| 13. Offering and Sales Amounts |
| Total Offering Amount | $ 200648 USD |
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Indefinite |
| Total Amount Sold | $ 100324 USD | |
| Total Remaining to be Sold | $ 100324 USD |
o
Indefinite |
| |
| Clarification of Response (if Necessary) |
| (c) represents potential exercise price of warrants issued to U.S. investors; Cdn$1.3257=U.S.$1.00 |
|
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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
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| | 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: | 1 |
| 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 | $ 6019 USD |
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| Estimate |
| Finders' Fees | $ 0 USD |
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| Estimate |
| |
| Clarification of Response (if Necessary) |
| In addition to the cash commission, the agents received 31,920 warrants, exercisable at C$0.50, in connection with the U.S. purchases |
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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