Statement of Ownership (sc 13g)
15 Février 2013 - 9:32PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
ROCHESTER RESOURCES LTD.
(Name of Issuer)
COMMON STOCK
(Title of Class of Securities)
77174P102
(CUSIP Number)
December 31, 2012
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to
designate the rule pursuant to which this Schedule is filed:
x
Rule 13d-1(b)
¨
Rule 13d-1(c)
¨
Rule 13d-1(d)
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The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for
any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
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The
information required in the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of
the Act but shall be subject to all other provisions of the Act (however, see the Notes).
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1.
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NAMES OF REPORTING PERSONS:
Frank E. Holmes
I.R.S.
IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY):
00-0000000
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2.
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CHECK THE APPROPRIATE BOX IF A
MEMBER OF A GROUP:
(a)
¨
(b)
¨
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3.
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SEC USE ONLY
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4.
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CITIZENSHIP OR PLACE OF
ORGANIZATION:
Canada
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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5.
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SOLE VOTING POWER:
7,000,000 shares
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6.
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SHARED VOTING POWER:
0
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7.
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SOLE DISPOSITIVE POWER:
7,000,000 shares
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8.
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SHARED DISPOSITIVE POWER:
0
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9.
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
7,000,000 shares
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10.
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CHECK IF THE AGGREGATE AMOUNT IN
ROW (9) EXCLUDES CERTAIN SHARES
¨
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11.
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PERCENT OF CLASS REPRESENTED BY
AMOUNT IN ROW (9)
5.13%
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12.
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TYPE OF REPORTING
PERSON
HC
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1.
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NAMES OF REPORTING PERSONS:
U.S. Global Investors, Inc.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY):
00-0000000
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2.
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CHECK THE APPROPRIATE BOX IF A
MEMBER OF A GROUP:
(a)
¨
(b)
¨
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3.
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SEC USE ONLY
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4.
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CITIZENSHIP OR PLACE OF
ORGANIZATION:
Texas
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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5.
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SOLE VOTING POWER:
7,000,000 shares
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6.
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SHARED VOTING POWER:
0
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7.
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SOLE DISPOSITIVE POWER:
7,000,000 shares
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8.
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SHARED DISPOSITIVE POWER:
0
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9.
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
7,000,000 shares
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10.
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CHECK IF THE AGGREGATE AMOUNT IN
ROW (9) EXCLUDES CERTAIN SHARES
¨
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11.
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PERCENT OF CLASS REPRESENTED BY
AMOUNT IN ROW (9)
5.13%
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12.
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TYPE OF REPORTING
PERSON
IA
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1.
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NAMES OF REPORTING PERSONS:
U.S. Global Investors World Precious Minerals Fund
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY):
00-0000000
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2.
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CHECK THE APPROPRIATE BOX IF A
MEMBER OF A GROUP:
(a)
¨
(b)
¨
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3.
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SEC USE ONLY
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4.
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CITIZENSHIP OR PLACE OF
ORGANIZATION:
Delaware
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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5.
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SOLE VOTING POWER:
7,000,000 shares
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6.
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SHARED VOTING POWER:
0
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7.
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SOLE DISPOSITIVE POWER:
7,000,000 shares
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8.
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SHARED DISPOSITIVE POWER:
0
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9.
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
7,000,000 shares
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10.
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CHECK IF THE AGGREGATE AMOUNT IN
ROW (9) EXCLUDES CERTAIN SHARES
¨
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11.
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PERCENT OF CLASS REPRESENTED BY
AMOUNT IN ROW (9)
5.13%
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12.
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TYPE OF REPORTING
PERSON
IC
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ITEM 1.
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(a) NAME OF ISSUER:
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Rochester Resources Ltd.
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(b) ADDRESS OF ISSUERS
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PRINCIPAL EXECUTIVE OFFICES:
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1305-1090 West Georgia
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Vancouver, Ontario
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Canada V6E 3V7
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ITEM 2.
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(a) NAME OF PERSON FILING:
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Frank E. Holmes
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(b) ADDRESS OF PRINCIPAL
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7900 Callaghan Road
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BUSINESS OFFICE
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San Antonio, Texas 78229
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(c) CITIZENSHIP:
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Canada
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(a) NAME OF PERSON FILING:
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U.S. Global Investors, Inc.
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(b) ADDRESS OF PRINCIPAL
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7900 Callaghan Road
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BUSINESS OFFICE
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San Antonio, Texas 78229
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(c) CITIZENSHIP:
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Texas
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(a) NAME OF PERSON FILING:
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U.S. Global Investors World Precious Minerals Fund
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(b) ADDRESS OF PRINCIPAL
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7900 Callaghan Road
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BUSINESS OFFICE
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San Antonio, Texas 78229
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(c) CITIZENSHIP:
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Delaware
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(d) TITLE OF CLASS OF SECURITIES:
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Common Stock
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(e) CUSIP NUMBER:
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77174P102
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ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO 17 CFR §240.13d-1(b) OR §240.13d-2(b) or (c), CHECK WHETHER
THE PERSON FILING IS A:
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(a)
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¨
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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
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(b)
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¨
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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
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(c)
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¨
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Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
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(d)
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x
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Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
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(e)
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x
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An investment adviser in accordance with 17 CFR 240.13d-1(b)(1) (ii)(E);
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(f)
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¨
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An employee benefit plan or endowment fund in accordance with 17 CFR §240.13d-1(b)(1)(ii)(F);
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(g)
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x
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A parent holding company or control person in accordance with 17 CFR §240.13d-(1)(b)(1)(ii)(G);
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(h)
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¨
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A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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¨
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A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
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(j)
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Group, in accordance with 17 CFR §240.13d-1(b)(1)(ii)(J).
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ITEM 4. OWNERSHIP.
The responses to Items 5-11 of the respective cover pages of Mr. Holmes, U.S. Global Investors Inc. (USGI), and U.S. Global Investors World Precious Minerals Fund (World Precious
Minerals Fund) are hereby incorporated by reference in response to Items 4(a)-(c).
USGI is the manager of investment accounts that hold
in the aggregate 7,000,000 shares. Mr. Holmes is the chief executive officer and controlling shareholder of USGI. The World Precious Minerals Fund holds 7,000,000 shares. The filing of this Schedule 13G shall not be construed as an admission
that any reporting person or its affiliates is for purposes of Section 13(d) or 13(g) of the Securities Exchange Act of 1934, the beneficial owner of any securities covered by this Section 13G.
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the
following
¨
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ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER
PERSON.
See Item 4 above.
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY
Not applicable.
ITEM 8. IDENTIFICATION
AND CLASSIFICATION OF MEMBERS OF THE GROUP
Not applicable.
ITEM 9. NOTICE OF DISSOLUTION OF GROUP
Not applicable.
ITEM 10. CERTIFICATION
By signing below I
certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or
influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Dated as of: February 15, 2013.
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FRANK E. HOLMES
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/s/ Susan B. McGee
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(Signature) By: Susan B. McGee, Power of Attorney
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U.S. GLOBAL INVESTORS, INC.
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By:
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Susan B. McGee
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President, General Counsel
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/s/ Susan B. McGee
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(Signature)
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U.S. GLOBAL INVESTORS FUNDS
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By:
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Susan B. McGee
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Executive Vice President, Secretary
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/s/ Susan B. McGee
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(Signature)
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Exhibit A
Joint Filing Agreement
We, the undersigned, hereby express our agreement
that the attached Schedule 13G, and any amendments thereto, is filed jointly on behalf of each of us pursuant to Rule 13d-1(k) of the Exchange Act.
Dated as of: February 15, 2013.
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FRANK E. HOLMES
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/s/ Susan B. McGee
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(Signature) By: Susan B. McGee, Power of Attorney
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U.S. GLOBAL INVESTORS, INC.
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By:
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Susan B. McGee
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President, General Counsel
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/s/ Susan B. McGee
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(Signature)
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U.S. GLOBAL INVESTORS FUNDS
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By:
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Susan B. McGee
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Executive Vice President, Secretary
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/s/ Susan B. McGee
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(Signature)
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