U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 4
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935 or
Section 30(f) of the Investment Company Act of 1940
[_] Check box if no longer subject of Section 16. Form 4 or Form 5 obligations
may continue. See Instruction 1(b).
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1. Name and Address of Reporting Person*
Allen Holding Incorporated
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(Last) (First) (Middle)
711 Fifth Avenue
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(Street)
New York New York 10022
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(City) (State) (Zip)
Chaparral Resources, Inc. (NASDAQ:CHAR)
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2. Issuer Name and Ticker or Trading Symbol
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3. IRS Identification Number of Reporting Person, if an Entity (Voluntary)
September 2000
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4. Statement for Month/Year
October 2000
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5. If Amendment, Date of Original (Month/Year)
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6. Relationship of Reporting Person to Issuer
(Check all applicable)
[_] Director [X] 10% Owner
[_] Officer (give title below) [_] Other (specify below)
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7. Individual or Joint/Group Filing (Check applicable line)
[_] Form filed by one Reporting Person
[X] Form filed by more than one Reporting Person
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Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned
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<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
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Common Stock P 5,561,165 A(1) $1.86 5,707,578(1) I(2) Corporation
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</TABLE>
* If the Form is filed by more than one Reporting Person, see Instruction
4(b)(v).
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
(Print or Type Responses)
(Over)
(Form 4-07/99)
<PAGE>
FORM 4 (continued)
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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<TABLE>
<CAPTION>
10.
9. Owner-
Number ship
of Form
2. Deriv- of
Conver- 5. 7. ative Deriv- 11.
sion Number of Title and Amount Secur- ative Nature
or Derivative 6. of Underlying 8. ities Secur- of
Exer- 4. Securities Date Securities Price Bene- ity: In-
cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct
Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene-
1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial
Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner-
Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship
Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4)
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
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Warrants to
purchase common stock 48,283 I Corp
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8% C.V Subordinated
Promissory Notes
$1.86 9/21/00 9/21/00 C/S 1,075,268 O(I) I Corp
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</TABLE>
Explanation of Responses:
(1) Includes all common stock held, including
stock underlying the Issuer's 8% Convertible Subordinated Promissory Notes
("Notes"). Reporting Person advanced $2 million in additional Notes in
September, 2000. On September 21, 2000, the Issuer, with consent of the
Reporting Person, converted the Reporting Person's entire holdings of Notes
(which Notes Reporting Person has held for various periods), aggregating
approximately $9.8 million (including principal and interest), at the rate of
$1.86 per share.
(2) Owned directly by Allen & Company Incorporated, over which
the Reporting Person may exercise control. Does not include certain shares owned
directly by certain officers, directors and employees of the Reporting Person
with respect to which the Reporting Personal disclaims beneficial ownership. The
Reporting Person and certain significant stockholders of the Reporting Person
may, consistent with applicable rules, be deemed the beneficial owner of the
securities reported herein. However, such significant stockholders disclaim
personal beneficial ownership of such securities to the extent they didn't have
a pecuniary interest therein.
/s/ Kim M. Wieland October 13, 2000
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**Signature of Reporting Person Date
Name: Kim M. Wieland
Title: Chief Financial Officer
** Intentional misstatements or omissions of facts constitute Federal
Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed.
If space provided is insufficient, see Instruction 6 for procedure.
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