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AAU Almaden Minerals Ltd New

0.1465
0.00 (0.00%)
02 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Almaden Minerals Ltd New AMEX:AAU AMEX Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 0.1465 0 01:00:00

Small Company Offering and Sale of Securities Without Registration (d)

11/08/2020 11:01am

Edgar (US Regulatory)


x NoneEntity Type
0001015647
 
x Corporation
o Limited Partnership
o Limited Liability Company
o General Partnership
o Business Trust
o Other
Name of Issuer
 ALMADEN MINERALS LTD
Jurisdiction of Incorporation/OrganizationBRITISH COLUMBIA, 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 
 ALMADEN MINERALS LTD 
Street Address 1Street Address 2
 1333 JOHNSTON ST. SUITE 210
CityState/Province/CountryZIP/Postal CodePhone No. of Issuer
 VANCOUVER BRITISH COLUMBIA, CANADA V6H 3R9 (604) 689-7644 



3. Related Persons
Last NameFirst NameMiddle Name
PoliquinMorganJ.
Street Address 1Street Address 2
1333 Johnston StreetSuite 210
CityState/Province/CountryZIP/Postal Code
VancouverBRITISH COLUMBIA, CANADAV6H 3R9
Relationship: x Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 President, CEO and Director

Last NameFirst NameMiddle Name
PoliquinDuane
Street Address 1Street Address 2
1333 Johnston StreetSuite 210
CityState/Province/CountryZIP/Postal Code
VancouverBRITISH COLUMBIA, CANADAV6H 3R9
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 Chairman

Last NameFirst NameMiddle Name
McDonaldDouglas
Street Address 1Street Address 2
1333 Johnston StreetSuite 210
CityState/Province/CountryZIP/Postal Code
VancouverBRITISH COLUMBIA, CANADAV6H 3R9
Relationship: x Executive Officer o Director o Promoter
Clarification of Response (if Necessary)
 VP, Corporate Development

Last NameFirst NameMiddle Name
TrieuKorm
Street Address 1Street Address 2
1333 Johnston StreetSuite 210
CityState/Province/CountryZIP/Postal Code
VancouverBRITISH COLUMBIA, CANADAV6H 3R9
Relationship: x Executive Officer o Director o Promoter
Clarification of Response (if Necessary)
 CFO

 
Last NameFirst NameMiddle Name
BrownMark
Street Address 1Street Address 2
1333 Johnston StreetSuite 210
CityState/Province/CountryZIP/Postal Code
VancouverBRITISH COLUMBIA, CANADAV6H 3R9
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 Director

Last NameFirst NameMiddle Name
CarlsonGerald
Street Address 1Street Address 2
1333 Johnston StreetSuite 210
CityState/Province/CountryZIP/Postal Code
VancouverBRITISH COLUMBIA, CANADAV6H 3R9
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 Director

Last NameFirst NameMiddle Name
McLearyJack
Street Address 1Street Address 2
1333 Johnston StreetSuite 210
CityState/Province/CountryZIP/Postal Code
VancouverBRITISH COLUMBIA, CANADAV6H 3R9
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 Director

Last NameFirst NameMiddle Name
EllinghamElaine
Street Address 1Street Address 2
1333 Johnston StreetSuite 210
CityState/Province/CountryZIP/Postal Code
VancouverBRITISH COLUMBIA, CANADAV6H 3R9
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 Director

 
Last NameFirst NameMiddle Name
WorrallWilliam
Street Address 1Street Address 2
1333 Johnston StreetSuite 210
CityState/Province/CountryZIP/Postal Code
VancouverBRITISH COLUMBIA, CANADAV6H 3R9
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 Director

 


4. Industry Group
o Agriculture Health Care o Retailing
 Banking & Financial Services   o Biotechnology o Restaurants
  o Commercial Banking   o Health Insurance Technology
  o Insurance  o Hospitals & Physicians  o Computers
  o Investing  o Pharmaceuticals  o Telecommunications
  o Investment Banking  o Other Health Care  o Other Technology
  o Pooled Investment Fund

    Travel
  o Other Banking & Financial Services o Manufacturing  o Airlines & Airports
 Real Estate  o 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 


5. Issuer Size
Revenue RangeAggregate Net Asset Value Range
o No Revenues o No Aggregate Net Asset Value
o $1 - $1,000,000 o $1 - $5,000,000
o $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)
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)

7. Type of Filing
x New Notice Date of First Sale 2020-08-06 o First Sale Yet to Occur
o Amendment

8. Duration of Offering
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 o Other (describe)
  


10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? o Yes x No
 
Clarification of Response (if Necessary) 
  

11. Minimum Investment
Minimum investment accepted from any outside investor$ 0 USD

12. Sales Compensation
RecipientRecipient CRD Number o None
 Sprott Global Resource Investments, Ltd. 35878
(Associated) Broker or Dealer x None(Associated) Broker or Dealer CRD Number x None
    
Street Address 1Street Address 2
 1910 PALOMAR POINT WAY SUITE 200
City State/Province/CountryZIP/Postal Code
 CARLSBAD CALIFORNIA 92008
State(s) of Solicitation x All States o Foreign/Non-US
 

 



13. Offering and Sales Amounts
Total Offering Amount $ 1254240 USD o Indefinite
Total Amount Sold $ 1254240 USD 
Total Remaining to be Sold $ 0 USD o Indefinite
 
Clarification of Response (if Necessary)
 Canadian dollars. A portion of the offering was made outside the U.S. under SEC Regulation S.


14. Investors
o 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: 5


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$ 50001 USD x Estimate
Finders' Fees$ 0 USD o Estimate
 
Clarification of Response (if Necessary)
 Canadian Dollars. Funds paid to recipient specified in Item 12 above.


16. Use of Proceeds
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 o

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