1
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
(RULE 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO
RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO
RULE 13d-2(a)
Chaparral Resources, Inc.
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(Name of Issuer)
Common Stock, par value $0.0001 per share
--------------------------------------------------------------------------------
(Title of Class of Securities)
159420207
--------------------------------------------------------------------------------
(CUSIP Number)
Steven A. Anderson
Whittier Trust Company
1600 Huntington Drive
South Pasadena, CA 91030
(818) 441-5111
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(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
September 21, 2000
--------------------------------------------------------------------------------
(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(e), 13d-1(f) or 13d-1(g), check the following box
[ ].
(Continued on following pages)
(Page 1 of 13 Pages)
2
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CUSIP NO. 159420207 13D PAGE 2 OF 13 PAGES
-------------------- ------------------
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1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Whittier Ventures LLC
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)[X]
(b)[ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
WC, OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e)
[ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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7 SOLE VOTING POWER 2,304,857*
NUMBERS OF
SHARES -----------------------------------------------------------------
8 SHARED VOTING POWER 26,059**
BENEFICIALLY
OWNED BY -----------------------------------------------------------------
9 SOLE DISPOSITIVE POWER 2,304,857
EACH
REPORTING -----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER 26,059**
PERSON WITH
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,330,916**
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.3%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
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* Includes 334 shares of common stock underlying warrants held by Whittier
Ventures LLC.
**Includes 334 shares of common stock underlying warrants held by Whittier
Ventures LLC, 8,334 shares of common stock underlying options held by Whittier
Opportunity Fund I LLC and 1,251 shares underlying options held by David A.
Dahl.
3
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CUSIP NO. 159420207 13D PAGE 3 OF 13 PAGES
-------------------- ------------------
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1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Whittier Energy Company
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)[X]
(b)[ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
WC, OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e)
[ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Nevada
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7 SOLE VOTING POWER 5,820
NUMBERS OF
SHARES -----------------------------------------------------------------
8 SHARED VOTING POWER 2,325,096**
BENEFICIALLY
OWNED BY -----------------------------------------------------------------
9 SOLE DISPOSITIVE POWER 5,820
EACH
REPORTING -----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER 2,325,096**
PERSON WITH
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,330,916**
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.3%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
CO
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**Includes 334 shares of common stock underlying warrants held by Whittier
Ventures LLC, 8,334 shares of common stock underlying options held by Whittier
Opportunity Fund I LLC and 1,251 shares underlying options held by David A.
Dahl.
4
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CUSIP NO. 159420207 13D PAGE 4 OF 13 PAGES
-------------------- ------------------
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Whittier Opportunity Fund I LLC
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)[X]
(b)[ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
WC, OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e)
[ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7 SOLE VOTING POWER 8,492*
NUMBERS OF
SHARES ---------------------------------------------------------------
8 SHARED VOTING POWER 2,322,424**
BENEFICIALLY
OWNED BY ---------------------------------------------------------------
9 SOLE DISPOSITIVE POWER 8,492*
EACH
REPORTING ---------------------------------------------------------------
10 SHARED DISPOSITIVE POWER 2,322,424**
PERSON WITH
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,330,916**
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.3%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
--------------------------------------------------------------------------------
* Includes 8,334 shares of common stock underlying warrants held by Whittier
Opportunity Fund I LLC.
**Includes 334 shares of common stock underlying warrants held by Whittier
Ventures LLC, 8,334 shares of common stock underlying options held by Whittier
Opportunity Fund I LLC and 1,251 shares underlying options held by David A.
Dahl.
5
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CUSIP NO. 159420207 13D PAGE 5 OF 13 PAGES
-------------------- ------------------
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Whittier Trust Company
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)[X]
(b)[ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
WC, OO
--------------------------------------------------------------------------------
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
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7 SOLE VOTING POWER -0-
NUMBERS OF
SHARES -------------------------------------------------------------
8 SHARED VOTING POWER 2,330,916**
BENEFICIALLY
OWNED BY -------------------------------------------------------------
9 SOLE DISPOSITIVE POWER -0-
EACH
REPORTING -------------------------------------------------------------
10 SHARED DISPOSITIVE POWER 2,330,916**
PERSON WITH
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,330,916**
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.3%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
CO
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**Includes 334 shares of common stock underlying warrants held by Whittier
Ventures LLC, 8,334 shares of common stock underlying options held by Whittier
Opportunity Fund I LLC and 1,251 shares underlying options held by David A.
Dahl.
6
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CUSIP NO. 159420207 13D PAGE 6 OF 13 PAGES
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1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
James A. Jeffs
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)[X]
(b)[ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
PF, OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e)
[ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S. Citizen
--------------------------------------------------------------------------------
7 SOLE VOTING POWER 10,329
NUMBERS OF
SHARES ---------------------------------------------------------------
8 SHARED VOTING POWER 2,320,587**
BENEFICIALLY
OWNED BY ---------------------------------------------------------------
9 SOLE DISPOSITIVE POWER 10,329
EACH
REPORTING ---------------------------------------------------------------
10 SHARED DISPOSITIVE POWER 2,320,587**
PERSON WITH
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,330,916**
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.3%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
--------------------------------------------------------------------------------
**Includes 334 shares of common stock underlying warrants held by Whittier
Ventures LLC, 8,334 shares of common stock underlying options held by Whittier
Opportunity Fund I LLC and 1,251 shares underlying options held by David A.
Dahl.
7
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CUSIP NO. 159420207 13D PAGE 7 OF 13 PAGES
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1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
David A. Dahl
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)[X]
(b)[ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
PF, OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e)
[ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S. Citizen
--------------------------------------------------------------------------------
7 SOLE VOTING POWER 1,418*
NUMBERS OF
SHARES ---------------------------------------------------------------
8 SHARED VOTING POWER 2,329,498**
BENEFICIALLY
OWNED BY ---------------------------------------------------------------
9 SOLE DISPOSITIVE POWER 1,418*
EACH
REPORTING ---------------------------------------------------------------
10 SHARED DISPOSITIVE POWER 2,329,498**
PERSON WITH
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,330,916**
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.3%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
--------------------------------------------------------------------------------
* Includes 1,251 shares of common stock underlying options held by Mr. Dahl.
**Includes 334 shares of common stock underlying warrants held by Whittier
Ventures LLC, 8,334 shares of common stock underlying options held by Whittier
Opportunity Fund I LLC and 1,251 shares underlying options held by David A.
Dahl.
8
ITEM 1. SECURITY AND ISSUER.
(a) Class of Security: Common Stock, par value $0.0001 per share.
(b) Name and Address of Issuer: Chaparral Resources, Inc.
("Chaparral"), 16945 Northchase Drive, Suite 1620, Houston, Texas 77060.
ITEM 2. IDENTITY AND BACKGROUND.
Pursuant to Rule 13d-1(k)(1), this statement is filed on behalf of
Whittier Ventures LLC, Whittier Energy Company and Whittier Opportunity Fund I
LLC (holders of Chaparral's securities), James A. Jeffs (holder of Chaparral's
securities, Vice President of Whittier Ventures LLC, Director of Whittier Energy
Company and Managing Director/Executive Vice President of Whittier Trust
Company), David A. Dahl (holder of Chaparral's securities, President of Whittier
Ventures LLC, President and Director of Whittier Energy Company and Vice
President of Whittier Trust Company) and Whittier Trust Company (holder of
discretionary authority with respect to the voting and disposition of securities
held by Whittier Ventures LLC, Whittier Energy Company and Whittier Opportunity
Fund I LLC).
Whittier Ventures LLC
(a) Name: Whittier Ventures LLC ("Whittier Ventures"), a Delaware
limited liability company. Whittier Ventures is a venture capital investment
company.
(b) Address of Principal Business and Principal Office: The address of
its principal business and the address of its principal office is 1600
Huntington Drive, South Pasadena, California 91030.
(c) Present Principal Occupation: Not applicable.
(d) Criminal Proceedings: None.
(e) Civil Proceedings Involving Securities Law Violations: None.
See Exhibit "A" for information concerning the executive officers and
directors of Whittier Ventures. None of such persons, during the past five
years, has been convicted in a criminal proceeding, excluding traffic violations
or similar misdemeanors. Further, none of such persons, during the last five
years, has been a party to a civil proceeding of a judicial or administrative
body of competent jurisdiction where as a result of such proceeding such person
was or is subject to a judgment, decree or final order enjoining future
violations of, or prohibiting or mandating activities subject to, federal or
state securities laws or finding any violation with respect to such laws. All
such directors and executive officers are citizens of the United States.
Whittier Energy Company
(a) Name: Whittier Energy Company ("Whittier Energy"), a Nevada
corporation. Whittier Energy is an energy investment company.
(Page 8 of 13 Pages)
9
(b) Address of Principal Business and Principal Office: The
address of its principal business and the address of its principal office is 100
W. Liberty Street, Suite 740, Reno, Nevada 89501.
(c) Present Principal Occupation: Not applicable.
(d) Criminal Proceedings: None.
(e) Civil Proceedings Involving Securities Law Violations: None.
See Exhibit "A" for information concerning the executive officers and
directors of Whittier Energy. None of such persons, during the past five years,
has been convicted in a criminal proceeding, excluding traffic violations or
similar misdemeanors. Further, none of such persons, during the last five years,
has been a party to a civil proceeding of a judicial or administrative body of
competent jurisdiction where as a result of such proceeding such person was or
is subject to a judgment, decree or final order enjoining future violations of,
or prohibiting or mandating activities subject to, federal or state securities
laws or finding any violation with respect to such laws. All such directors and
executive officers are citizens of the United States.
Whittier Opportunity Fund I LLC
(a) Name: Whittier Opportunity Fund I LLC ("Whittier
Opportunity"), a Delaware limited liability company. Whittier Opportunity is an
investment company.
(b) Address of Principal Business and Principal Office: The
address of its principal business and the address of its principal office is
1600 Huntington Drive, South Pasadena, California 91030.
(c) Present Principal Occupation: Not applicable.
(d) Criminal Proceedings: None.
(e) Civil Proceedings Involving Securities Law Violations: None.
See Exhibit "A" for information concerning the executive officers and
directors of Whittier Opportunity. None of such persons, during the past five
years, has been convicted in a criminal proceeding, excluding traffic violations
or similar misdemeanors. Further, none of such persons, during the last five
years, has been a party to a civil proceeding of a judicial or administrative
body of competent jurisdiction where as a result of such proceeding such person
was or is subject to a judgment, decree or final order enjoining future
violations of, or prohibiting or mandating activities subject to, federal or
state securities laws or finding any violation with respect to such laws. All
such directors and executive officers are citizens of the United States.
Whittier Trust Company
(a) Name: Whittier Trust Company ("Whittier"), a California
corporation. Whittier is a trust company.
(Page 9 of 13 Pages)
10
(b) Address of Principal Business and Principal Office: The address of
its principal business and the address of its principal office is 1600
Huntington Drive, South Pasadena, California 91030.
(c) Present Principal Occupation: Not applicable.
(d) Criminal Proceedings: None.
(e) Civil Proceedings Involving Securities Law Violations: None.
See Exhibit "A" for information concerning the executive officers and
directors of Whittier. None of such persons, during the past five years, has
been convicted in a criminal proceeding, excluding traffic violations or similar
misdemeanors. Further, none of such persons, during the last five years, has
been a party to a civil proceeding of a judicial or administrative body of
competent jurisdiction where as a result of such proceeding such person was or
is subject to a judgment, decree or final order enjoining future violations of,
or prohibiting or mandating activities subject to, federal or state securities
laws or finding any violation with respect to such laws. All such directors and
executive officers are citizens of the United States.
James A. Jeffs
(a) Name: James A. Jeffs.
(b) Residence or Business Address: 1600 Huntington Drive, South
Pasadena, California 91030.
(c) Present Principal Occupation: Vice President of Whittier Ventures,
Director of Whittier Energy, Managing Director/Executive Vice President of
Whittier, Vice President of The Whittier Trust Company of Nevada, Inc., a trust
company, Vice President of M.H. Whittier Corporation, a diversified investment
company, President of Whittier Financial LLC, a diversified investment company
and Vice President of Whittier Realty LLC, a real estate investment company.
Each employer listed in this paragraph is located at 1600 Huntington Drive,
South Pasadena, California 91030.
(d) Criminal Proceedings: None.
(e) Civil Proceedings involving Securities Law Violations: None.
(f) Citizenship: United States.
David A. Dahl
(a) Name: David A. Dahl.
(b) Residence or Business Address: 1600 Huntington Drive, South
Pasadena, California 91030.
(Page 10 of 13 Pages)
11
(c) Present Principal Occupation: President of Whittier Ventures,
President and Director of Whittier Energy and Vice President of Whittier.
(d) Criminal Proceedings: None.
(e) Civil Proceedings involving Securities Law Violations: None.
(f) Citizenship: United States.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.
As of the date hereof, (i) Whittier Ventures has invested $1 million in
49,519 shares of Chaparral's Common Stock, (ii) Whittier Energy has invested
$250,000 in 5,820 shares of Chaparral's Common Stock, (iii) Whittier Opportunity
has invested $10,000 in 158 shares of Chaparral's Common Stock, (iv) James A.
Jeffs has invested $20,000 in 10,329 shares of Chaparral's Common Stock and (v)
David A. Dahl has invested $10,000 in 167 shares of Chaparral's Common Stock,
all as described in Item 5 below. The source of these funds was the working
capital or personal funds of each of Whittier Ventures, Whittier Energy,
Whittier Opportunity, James A. Jeffs and David A. Dahl, as the case may be.
On July 2, 1998, Whittier Ventures was granted warrants to purchase 334
shares of Chaparral's common stock at an exercise price of $0.60 per share. On
July 24, 1998, James A. Jeffs transferred to Whittier Opportunity options to
purchase 4,167 shares of Chaparral's common stock at an exercise price of $45
per share and 4,167 shares at an exercise price of $90 per share. On June 17,
1997, David A. Dahl was granted options to purchase 417 shares of Chaparral's
common stock at an exercise price of $49.69 per share. On September 2, 1997,
David A. Dahl was granted options to purchase 417 shares of Chaparral's common
stock at an exercise price of $45 per share and 417 shares at an exercise price
of $90 per share.
On September 21, 2000, Whittier Ventures converted $4,050,959 of
Chaparral's outstanding 8.0% Non-Negotiable Convertible Subordinated Promissory
Notes (the "Notes") held by Whittier Ventures plus accrued interest owed on the
Notes into 2,255,004 shares of Chaparral's common stock at a conversion price of
$1.86 per share.
ITEM 4. PURPOSE OF TRANSACTION.
With respect to the 2,255,004 shares of Chaparral's common stock
acquired by Whittier Ventures pursuant to the conversion of the Notes, Whittier
Ventures converted the Notes and accrued interest to facilitate Chaparral's
efforts to satisfy an equity infusion commitment to Shell Capital Limited
("Shell") under a $24.0 million loan agreement between Chaparral and Shell (the
"Loan"). In connection with the Loan, Chaparral committed to Shell to raise $6.0
million in equity or subordinated debt financing by June 30, 2000. Chaparral
failed to fulfill this obligation before June 30, 2000. Shell agreed to extend
the time deadline for Chaparral's commitment to raise the equity or debt
financing from June 30, 2000 to September 30, 2000, but increased the amount of
Chaparral's obligation from $6.0 million to $10.0 million. All other securities
reported herein were acquired for investment purposes.
(Page 11 of 13 Pages)
12
There are no plans or proposals which Whittier Ventures, Whittier
Energy, Whittier Opportunity, Whittier, James A. Jeffs or David A. Dahl may have
which relate to or result in any of the transactions or events enumerated in
clauses (a) through (j) of Item 4.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
(a) See Items 11 and 13 of the cover pages, which are
incorporated herein by this reference.
(b) See Items 7, 8, 9 and 10 of the cover pages and Item 2 above,
which are incorporated herein by this reference.
(c) No transactions in Chaparral's common stock have been
effected in the past 60 days by the reporting persons described in this Schedule
13D.
(d) All persons known to have the right to receive or the power
to direct the dividends from, or the proceeds from the sale of, the securities
described in this Item 5 are described in this filing.
(e) Not applicable.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO
SECURITIES OF THE ISSUER.
Whittier Ventures, Whittier Energy and Whittier Opportunity have each
contracted with Whittier for various accounting, tax, investment and other
services. Under the terms of each contract, Whittier is granted discretionary
authority to purchase and sell securities on behalf of Whittier Ventures,
Whittier Energy and Whittier Opportunity and to vote such securities.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
Exhibit A* - Directors and Executive Officers of Whittier Ventures LLC, Whittier
Energy Company, Whittier Opportunity Fund I LLC and Whittier Trust
Company.
Exhibit B* - Written agreement relating to joint filing of Schedule 13D.
Exhibit C - 8.0% Non-Negotiable Convertible Subordinated Promissory Note dated
September 21, 2000 issued by Chaparral Resources, Inc. to Whittier
Ventures, LLC (filed as an Exhibit to Chaparral's Form 8-K dated
October 6, 2000).
----------
* Filed herewith.
(Page 12 of 13 Pages)
13
SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief, we
certify that the information set forth in this statement is true, complete and
correct.
Date: April 6, 2001 WHITTIER VENTURES LLC
By: /s/ David A. Dahl
----------------------------------------
David A. Dahl
President
Date: April 6, 2001 WHITTIER ENERGY COMPANY
By: /s/ David A. Dahl
----------------------------------------
David A. Dahl
President
Date: April 6, 2001 WHITTIER OPPORTUNITY FUND I LLC
By WHITTIER VENTURES LLC, its Manager
By: /s/ James A. Jeffs
----------------------------------------
James A. Jeffs
Date: April 6, 2001 JAMES A. JEFFS
/s/ James A. Jeffs
--------------------------------------------
Date: April 6, 2001 DAVID A. DAHL
/s/ David A. Dahl
--------------------------------------------
Date: April 6, 2001 WHITTIER TRUST COMPANY
By: /s/ Steven A. Anderson
----------------------------------------
Steven A. Anderson
Executive Vice President
(Page 13 of 13 Pages)
14
EXHIBIT INDEX
EXHIBIT
NUMBER DESCRIPTION
------- -----------
Exhibit A* - Directors and Executive Officers of Whittier Ventures LLC, Whittier
Energy Company, Whittier Opportunity Fund I LLC and Whittier Trust
Company.
Exhibit B* - Written agreement relating to joint filing of Schedule 13D.
Exhibit C - 8.0% Non-Negotiable Convertible Subordinated Promissory Note dated
September 21, 2000 issued by Chaparral Resources, Inc. to Whittier
Ventures, LLC (filed as an Exhibit to Chaparral's Form 8-K dated
October 6, 2000).
----------
* Filed herewith.