Last 12 months
Inside the activity.
0 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 15, 2024 Filed Feb 20, 2024 22:48 UTC Amendment |
Maselli Michael G.Director
|
GrantDirector Stock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $2.99 | $0.00 |
DisclosureSEC source: 0001539497-24-000537 · ownership.xml · derivative · entry 1 Maselli Michael G. · CIK 0001614590 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Shares · 50,000 shares Expires 2029-02-15 Read SEC document |
| December 22, 2023 Filed Dec 22, 2023 21:00 UTC |
Shah Neal S.Chief Financial Officer
|
PurchaseCommon Share Purchase Warrant (right to buy) · Derivative | 9,360 | Not disclosed Strike: $3.54 | Not disclosed |
DisclosureSEC source: 0001539497-23-002243 · ownership.xml · derivative · entry 2 Shah Neal S. · CIK 0001688494 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,360 Underlying: Common Shares · 9,360 shares Expires 2025-12-22 F1 · price: On December 22, 2023, the reporting person purchased 9,360 units (each, a "Unit") from NioCorp Developments Ltd. (the "Issuer") in a private placement. Each Unit consists of one common share, without par value (a "Common Share"), of the Issuer and one warrant (a "Warrant") to purchase one Common Share. The price per Unit was $3.205, which amount includes $0.125 per Warrant underlying each Unit. Read SEC document |
| December 22, 2023 Filed Dec 22, 2023 21:00 UTC |
Shah Neal S.Chief Financial Officer
|
PurchaseCommon Shares | 9,360 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001539497-23-002243 · ownership.xml · nonDerivative · entry 1 Shah Neal S. · CIK 0001688494 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 65,670 F1 · price: On December 22, 2023, the reporting person purchased 9,360 units (each, a "Unit") from NioCorp Developments Ltd. (the "Issuer") in a private placement. Each Unit consists of one common share, without par value (a "Common Share"), of the Issuer and one warrant (a "Warrant") to purchase one Common Share. The price per Unit was $3.205, which amount includes $0.125 per Warrant underlying each Unit. Read SEC document |
| December 22, 2023 Filed Dec 22, 2023 21:00 UTC |
Smith Mark A.President & CEO
|
PurchaseCommon Share Purchase Warrant (right to buy) · Derivative | 46,801 | Not disclosed Strike: $3.54 | Not disclosed |
DisclosureSEC source: 0001539497-23-002245 · ownership.xml · derivative · entry 2 Smith Mark A. · CIK 0001496772 · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 46,801 Underlying: Common Shares · 46,801 shares Expires 2025-12-22 F1 · price: On December 22, 2023, the reporting person purchased 46,801 units (each, a "Unit") from NioCorp Developments Ltd. (the "Issuer") in a private placement. Each Unit consists of one common share, without par value (a "Common Share"), of the Issuer and one warrant (a "Warrant") to purchase one Common Share. The price per Unit was $3.205, which amount includes $0.125 per Warrant underlying each Unit. Read SEC document |
| December 22, 2023 Filed Dec 22, 2023 21:00 UTC |
Smith Mark A.President & CEO
|
PurchaseCommon Shares | 46,801 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001539497-23-002245 · ownership.xml · nonDerivative · entry 1 Smith Mark A. · CIK 0001496772 · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,088,596 F1 · price: On December 22, 2023, the reporting person purchased 46,801 units (each, a "Unit") from NioCorp Developments Ltd. (the "Issuer") in a private placement. Each Unit consists of one common share, without par value (a "Common Share"), of the Issuer and one warrant (a "Warrant") to purchase one Common Share. The price per Unit was $3.205, which amount includes $0.125 per Warrant underlying each Unit. Read SEC document |
| December 22, 2023 Filed Dec 22, 2023 21:00 UTC |
Kehler Dean CDirector
|
PurchaseCommon Share Purchase Warrant (right to buy) · Derivative | 78,003 | Not disclosed Strike: $3.54 | Not disclosed |
DisclosureSEC source: 0001539497-23-002244 · ownership.xml · derivative · entry 2 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 78,003 Underlying: Common Shares · 78,003 shares Expires 2025-12-22 F1 · price: On December 22, 2023, the reporting person purchased 78,003 units (each, a "Unit") from NioCorp Developments Ltd. (the "Issuer") in a private placement. Each Unit consists of one common share, without par value (a "Common Share"), of the Issuer and one warrant (a "Warrant") to purchase one Common Share. The price per Unit was $3.205, which amount includes $0.125 per Warrant underlying each Unit. Read SEC document |
| December 22, 2023 Filed Dec 22, 2023 21:00 UTC |
Kehler Dean CDirector
|
PurchaseCommon Shares | 78,003 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001539497-23-002244 · ownership.xml · nonDerivative · entry 1 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 78,003 F1 · price: On December 22, 2023, the reporting person purchased 78,003 units (each, a "Unit") from NioCorp Developments Ltd. (the "Issuer") in a private placement. Each Unit consists of one common share, without par value (a "Common Share"), of the Issuer and one warrant (a "Warrant") to purchase one Common Share. The price per Unit was $3.205, which amount includes $0.125 per Warrant underlying each Unit. Read SEC document |
| November 15, 2023 Filed Nov 17, 2023 16:30 UTC |
Wightman Anna CastnerDirector
|
Exercise / conversionDirector Stock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $3.93 | $0.00 |
DisclosureSEC source: 0001539497-23-001965 · ownership.xml · derivative · entry 6 Wightman Anna Castner · CIK 0001688585 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 30,000 shares Expires 2023-11-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$5.40 using an exchange rate of C$1.3725 = US$1.00 as reported by the Bank of Canada on November 14, 2023. F3 · derivative.exercise_date: The option, representing a right to purchase a total of 30,000 Common Shares, became exercisable in installments as follows: 50% on May 15, 2019; 25% on November 15, 2019; and the remaining balance on May 15, 2020. Read SEC document |
| November 15, 2023 Filed Nov 17, 2023 16:30 UTC |
Wightman Anna CastnerDirector
|
Tax withholdingCommon Shares | 28,878 | $4.09 | $118,035.94 |
DisclosureSEC source: 0001539497-23-001965 · ownership.xml · nonDerivative · entry 2 Wightman Anna Castner · CIK 0001688585 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,484 F2 · price: Sale price of common shares withheld in satisfaction of option exercise price is based on the closing price of the common shares on the Toronto Stock Exchange on November 14, 2023 of C$5.61, which was converted using an exchange rate of C$1.3725 = US$1.00 as reported by the Bank of Canada on November 14, 2023. Read SEC document |
| November 15, 2023 Filed Nov 17, 2023 16:30 UTC |
Wightman Anna CastnerDirector
|
Exercise / conversionCommon Shares | 30,000 | $3.93 | $118,032.00 |
DisclosureSEC source: 0001539497-23-001965 · ownership.xml · nonDerivative · entry 1 Wightman Anna Castner · CIK 0001688585 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 59,362 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Option exercise price reflected was converted from Canadian exercise price of C$5.40 using an exchange rate of C$1.3725 = US$1.00 as reported by the Bank of Canada on November 14, 2023. Read SEC document |
| November 15, 2023 Filed Nov 17, 2023 21:30 UTC |
Honan ScottChief Operating Officer
|
Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 35,000 | $0.00 Strike: $3.93 | $0.00 |
DisclosureSEC source: 0001539497-23-001966 · ownership.xml · derivative · entry 3 Honan Scott · CIK 0001688584 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 35,000 shares Expires 2023-11-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$5.40 using an exchange rate of C$1.3725 = US$1.00 as reported by the Bank of Canada on November 14, 2023. F3 · derivative.exercise_date: The option, representing a right to purchase a total of 35,000 Common Shares, became exercisable in installments as follows: 50% on May 15, 2019; 25% on November 15, 2019; and the remaining balance on May 15, 2020. Read SEC document |
| November 15, 2023 Filed Nov 17, 2023 21:30 UTC |
Honan ScottChief Operating Officer
|
Tax withholdingCommon Shares | 33,690 | $4.09 | $137,704.51 |
DisclosureSEC source: 0001539497-23-001966 · ownership.xml · nonDerivative · entry 2 Honan Scott · CIK 0001688584 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 55,762 F2 · price: Sale price of common shares withheld in satisfaction of option exercise price is based on the closing price of the common shares on the Toronto Stock Exchange on November 14, 2023 of C$5.61, which was converted using an exchange rate of C$1.3725 = US$1.00 as reported by the Bank of Canada on November 14, 2023. Read SEC document |
| November 15, 2023 Filed Nov 17, 2023 21:30 UTC |
Honan ScottChief Operating Officer
|
Exercise / conversionCommon Shares | 35,000 | $3.93 | $137,704.00 |
DisclosureSEC source: 0001539497-23-001966 · ownership.xml · nonDerivative · entry 1 Honan Scott · CIK 0001688584 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 89,452 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Option exercise price reflected was converted from Canadian exercise price of C$5.40 using an exchange rate of C$1.3725 = US$1.00 as reported by the Bank of Canada on November 14, 2023. Read SEC document |
| November 15, 2023 Filed Nov 17, 2023 21:30 UTC |
Shah Neal S.Chief Financial Officer
|
Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 35,000 | $0.00 Strike: $3.93 | $0.00 |
DisclosureSEC source: 0001539497-23-001967 · ownership.xml · derivative · entry 3 Shah Neal S. · CIK 0001688494 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 35,000 shares Expires 2023-11-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$5.40 using an exchange rate of C$1.3725 = US$1.00 as reported by the Bank of Canada on November 14, 2023. F3 · derivative.exercise_date: The option, representing a right to purchase a total of 35,000 Common Shares, became exercisable in installments as follows: 50% on May 15, 2019; 25% on November 15, 2019; and the remaining balance on May 15, 2020. Read SEC document |
| November 15, 2023 Filed Nov 17, 2023 21:30 UTC |
Shah Neal S.Chief Financial Officer
|
Tax withholdingCommon Shares | 33,690 | $4.09 | $137,704.51 |
DisclosureSEC source: 0001539497-23-001967 · ownership.xml · nonDerivative · entry 2 Shah Neal S. · CIK 0001688494 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 56,310 F2 · price: Sale price of common shares withheld in satisfaction of option exercise price is based on the closing price of the common shares on the Toronto Stock Exchange on November 14, 2023 of C$5.61, which was converted using an exchange rate of C$1.3725 = US$1.00 as reported by the Bank of Canada on November 14, 2023. Read SEC document |
| November 15, 2023 Filed Nov 17, 2023 21:30 UTC |
Shah Neal S.Chief Financial Officer
|
Exercise / conversionCommon Shares | 35,000 | $3.93 | $137,704.00 |
DisclosureSEC source: 0001539497-23-001967 · ownership.xml · nonDerivative · entry 1 Shah Neal S. · CIK 0001688494 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 90,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Option exercise price reflected was converted from Canadian exercise price of C$5.40 using an exchange rate of C$1.3725 = US$1.00 as reported by the Bank of Canada on November 14, 2023. Read SEC document |
| November 15, 2023 Filed Nov 17, 2023 16:31 UTC |
BELING DAVID COATESDirector
|
Exercise / conversionDirector Stock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $3.93 | $0.00 |
DisclosureSEC source: 0001539497-23-001968 · ownership.xml · derivative · entry 3 BELING DAVID COATES · CIK 0001398069 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 30,000 shares Expires 2023-11-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$5.40 using an exchange rate of C$1.3725 = US$1.00 as reported by the Bank of Canada on November 14, 2023. F3 · derivative.exercise_date: The option, representing a right to purchase a total of 30,000 Common Shares, became exercisable in installments as follows: 50% on May 15, 2019; 25% on November 15, 2019; and the remaining balance on May 15, 2020. Read SEC document |
| November 15, 2023 Filed Nov 17, 2023 16:31 UTC |
BELING DAVID COATESDirector
|
Tax withholdingCommon Shares | 28,878 | $4.09 | $118,035.94 |
DisclosureSEC source: 0001539497-23-001968 · ownership.xml · nonDerivative · entry 2 BELING DAVID COATES · CIK 0001398069 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 72,013 F2 · price: Sale price of common shares withheld in satisfaction of option exercise price is based on the closing price of the common shares on the Toronto Stock Exchange on November 14, 2023 of C$5.61, which was converted using an exchange rate of C$1.3725 = US$1.00 as reported by the Bank of Canada on November 14, 2023. Read SEC document |
| November 15, 2023 Filed Nov 17, 2023 16:31 UTC |
BELING DAVID COATESDirector
|
Exercise / conversionCommon Shares | 30,000 | $3.93 | $118,032.00 |
DisclosureSEC source: 0001539497-23-001968 · ownership.xml · nonDerivative · entry 1 BELING DAVID COATES · CIK 0001398069 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 100,891 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Option exercise price reflected was converted from Canadian exercise price of C$5.40 using an exchange rate of C$1.3725 = US$1.00 as reported by the Bank of Canada on November 14, 2023. Read SEC document |
| March 25, 2023 Filed Mar 28, 2023 17:21 UTC |
Guerrero-Mahon NilsaDirector
|
GrantDirector Stock Option (Right to Buy) · Derivative | 45,000 | $0.00 Strike: $6.95 | $0.00 |
DisclosureSEC source: 0001539497-23-000547 · ownership.xml · derivative · entry 1 Guerrero-Mahon Nilsa · CIK 0001718789 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Shares · 45,000 shares Expires 2026-03-27 Read SEC document |
| March 25, 2023 Filed Mar 28, 2023 21:22 UTC |
Honan ScottChief Operating Officer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $6.95 | $0.00 |
DisclosureSEC source: 0001539497-23-000548 · ownership.xml · derivative · entry 1 Honan Scott · CIK 0001688584 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Shares · 40,000 shares Expires 2026-03-27 Read SEC document |
| March 25, 2023 Filed Mar 28, 2023 17:19 UTC |
Wightman Anna CastnerDirector
|
GrantDirector Stock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $6.95 | $0.00 |
DisclosureSEC source: 0001539497-23-000545 · ownership.xml · derivative · entry 1 Wightman Anna Castner · CIK 0001688585 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Shares · 40,000 shares Expires 2026-03-27 Read SEC document |
| March 25, 2023 Filed Mar 28, 2023 21:18 UTC |
Sims James T.VP - External Affairs
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $6.95 | $0.00 |
DisclosureSEC source: 0001539497-23-000544 · ownership.xml · derivative · entry 1 Sims James T. · CIK 0001688496 · VP - External Affairs 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Shares · 40,000 shares Expires 2026-03-27 Read SEC document |
| March 25, 2023 Filed Mar 28, 2023 21:20 UTC |
Shah Neal S.Chief Financial Officer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $6.95 | $0.00 |
DisclosureSEC source: 0001539497-23-000546 · ownership.xml · derivative · entry 1 Shah Neal S. · CIK 0001688494 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Shares · 40,000 shares Expires 2026-03-27 Read SEC document |
| March 25, 2023 Filed Mar 28, 2023 21:16 UTC |
Smith Mark A.Director · President & CEO
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 70,000 | $0.00 Strike: $6.95 | $0.00 |
DisclosureSEC source: 0001539497-23-000541 · ownership.xml · derivative · entry 1 Smith Mark A. · CIK 0001496772 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 70,000 Underlying: Common Shares · 70,000 shares Expires 2026-03-27 Read SEC document |
| March 25, 2023 Filed Mar 28, 2023 17:17 UTC |
Morris Michael JamesDirector
|
GrantDirector Stock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $6.95 | $0.00 |
DisclosureSEC source: 0001539497-23-000543 · ownership.xml · derivative · entry 1 Morris Michael James · CIK 0001335734 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Shares · 50,000 shares Expires 2026-03-27 Read SEC document |
| March 25, 2023 Filed Mar 28, 2023 17:17 UTC |
BELING DAVID COATESDirector
|
GrantDirector Stock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $6.95 | $0.00 |
DisclosureSEC source: 0001539497-23-000542 · ownership.xml · derivative · entry 1 BELING DAVID COATES · CIK 0001398069 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Shares · 40,000 shares Expires 2026-03-27 Read SEC document |
| March 25, 2023 Filed Mar 28, 2023 21:24 UTC |
Klamas Fernanda reda Fenga VianaDirector
|
GrantDirector Stock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $6.95 | $0.00 |
DisclosureSEC source: 0001539497-23-000550 · ownership.xml · derivative · entry 1 Klamas Fernanda reda Fenga Viana · CIK 0001836395 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Shares · 40,000 shares Expires 2026-03-27 Read SEC document |
| March 25, 2023 Filed Mar 28, 2023 21:23 UTC |
Oliver Peter RobertDirector
|
GrantDirector Stock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $6.95 | $0.00 |
DisclosureSEC source: 0001539497-23-000549 · ownership.xml · derivative · entry 1 Oliver Peter Robert · CIK 0001930773 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Shares · 40,000 shares Expires 2026-03-27 Read SEC document |
| March 17, 2023 Filed Mar 21, 2023 22:49 UTC |
Kehler Dean CDirector
|
GrantWarrants · Derivative | 1,657,057 | Not disclosed Strike: $10.28 | Not disclosed |
DisclosureSEC source: 0001539497-23-000474 · ownership.xml · derivative · entry 3 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,657,057 Underlying: Common Shares · 1,853,073 shares Expires not disclosed F7 · derivative.exercise_price: Each warrant is exercisable for 1.118292212 common shares of the Issuer, such that an aggregate of 1,657,057 warrants are exercisable for an aggregate of 1,853,073 common shares, with an aggregate exercise price of $19,056,155.50 (or approximately $10.284 per share). F2 · kind: On March 17, 2023, the Issuer consummated the business combination ("Business Combination") contemplated by the Business Combination Agreement, dated as of September 25, 2022, as amended (the "Business Combination Agreement"), entered into by and among GX Acquisiton Corp. II, the Issuer, and Big Red Merger Sub Ltd, a wholly owned subsidiary of the Issuer. After the closing of the Business Combination, GX Acquisiton Corp. II changed its name to "Elk Creek Resources Corp." GX Sponsor II LLC ("Sponsor") acquired Issuer securities and derivatives thereof in the Business Combination on behalf of its members, which were then immediately distributed to Sponsor's members, including the reporting person, on a pro rata basis for no consideration. The reporting person is a managing member of Sponsor with shared voting and investment discretion with respect to securities held of record by Sponsor, and therefore, previously indirectly beneficially owned these securities through Sponsor. F7 · shares: Each warrant is exercisable for 1.118292212 common shares of the Issuer, such that an aggregate of 1,657,057 warrants are exercisable for an aggregate of 1,853,073 common shares, with an aggregate exercise price of $19,056,155.50 (or approximately $10.284 per share). F2 · price: On March 17, 2023, the Issuer consummated the business combination ("Business Combination") contemplated by the Business Combination Agreement, dated as of September 25, 2022, as amended (the "Business Combination Agreement"), entered into by and among GX Acquisiton Corp. II, the Issuer, and Big Red Merger Sub Ltd, a wholly owned subsidiary of the Issuer. After the closing of the Business Combination, GX Acquisiton Corp. II changed its name to "Elk Creek Resources Corp." GX Sponsor II LLC ("Sponsor") acquired Issuer securities and derivatives thereof in the Business Combination on behalf of its members, which were then immediately distributed to Sponsor's members, including the reporting person, on a pro rata basis for no consideration. The reporting person is a managing member of Sponsor with shared voting and investment discretion with respect to securities held of record by Sponsor, and therefore, previously indirectly beneficially owned these securities through Sponsor. F6 · derivative.exercise_date: The warrants may be exercised commencing 30 days after the consummation of the Business Combination and expire five years after the consummation of the Business Combination or earlier upon redemption. F6 · derivative.expiration_date: The warrants may be exercised commencing 30 days after the consummation of the Business Combination and expire five years after the consummation of the Business Combination or earlier upon redemption. F7 · derivative.underlying_shares: Each warrant is exercisable for 1.118292212 common shares of the Issuer, such that an aggregate of 1,657,057 warrants are exercisable for an aggregate of 1,853,073 common shares, with an aggregate exercise price of $19,056,155.50 (or approximately $10.284 per share). F7 · balance_after: Each warrant is exercisable for 1.118292212 common shares of the Issuer, such that an aggregate of 1,657,057 warrants are exercisable for an aggregate of 1,853,073 common shares, with an aggregate exercise price of $19,056,155.50 (or approximately $10.284 per share). Read SEC document |
| March 17, 2023 Filed Mar 21, 2023 22:49 UTC |
Kehler Dean CDirector
|
GrantClass B Common Stock of Elk Creek Resources Corp. · Derivative | 555,038 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001539497-23-000474 · ownership.xml · derivative · entry 2 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By trust Disclosed balance after: 555,038 Underlying: Common Shares · 555,038 shares Expires not disclosed F1 · derivative.exercise_price: These shares of Class B common stock of Elk Creek Resources Corp. (f/k/a GX Acquisiton Corp. II) ("Elk Class B Shares"), an indirect subsidiary of the Issuer, are exchangeable for the Issuer's common shares on a one-for-one basis. These shares have no expiration date. F2 · kind: On March 17, 2023, the Issuer consummated the business combination ("Business Combination") contemplated by the Business Combination Agreement, dated as of September 25, 2022, as amended (the "Business Combination Agreement"), entered into by and among GX Acquisiton Corp. II, the Issuer, and Big Red Merger Sub Ltd, a wholly owned subsidiary of the Issuer. After the closing of the Business Combination, GX Acquisiton Corp. II changed its name to "Elk Creek Resources Corp." GX Sponsor II LLC ("Sponsor") acquired Issuer securities and derivatives thereof in the Business Combination on behalf of its members, which were then immediately distributed to Sponsor's members, including the reporting person, on a pro rata basis for no consideration. The reporting person is a managing member of Sponsor with shared voting and investment discretion with respect to securities held of record by Sponsor, and therefore, previously indirectly beneficially owned these securities through Sponsor. F5 · shares: Includes 236,568 unvested Elk Class B Shares. F2 · price: On March 17, 2023, the Issuer consummated the business combination ("Business Combination") contemplated by the Business Combination Agreement, dated as of September 25, 2022, as amended (the "Business Combination Agreement"), entered into by and among GX Acquisiton Corp. II, the Issuer, and Big Red Merger Sub Ltd, a wholly owned subsidiary of the Issuer. After the closing of the Business Combination, GX Acquisiton Corp. II changed its name to "Elk Creek Resources Corp." GX Sponsor II LLC ("Sponsor") acquired Issuer securities and derivatives thereof in the Business Combination on behalf of its members, which were then immediately distributed to Sponsor's members, including the reporting person, on a pro rata basis for no consideration. The reporting person is a managing member of Sponsor with shared voting and investment discretion with respect to securities held of record by Sponsor, and therefore, previously indirectly beneficially owned these securities through Sponsor. F4 · derivative.exercise_date: Unvested Elk Class B Shars will vest if, from the closing of the Business Combination until the tenth anniversary thereof, the volume-weighted average price ("VWAP") of the Issuer's common shares exceeds certain thresholds as follows: (a) one-half will vest if the VWAP of the Issuer's common shares exceeds $12.50 for any 20 trading days within any 30 trading day period, and (b) the remaining half will vest if the VWAP of the Issuer's common shares exceeds $15.00 for any 20 trading days within any 30 trading day period. F4 · derivative.expiration_date: Unvested Elk Class B Shars will vest if, from the closing of the Business Combination until the tenth anniversary thereof, the volume-weighted average price ("VWAP") of the Issuer's common shares exceeds certain thresholds as follows: (a) one-half will vest if the VWAP of the Issuer's common shares exceeds $12.50 for any 20 trading days within any 30 trading day period, and (b) the remaining half will vest if the VWAP of the Issuer's common shares exceeds $15.00 for any 20 trading days within any 30 trading day period. Read SEC document |
| March 17, 2023 Filed Mar 21, 2023 22:49 UTC |
Kehler Dean CDirector
|
GrantClass B Common Stock of Elk Creek Resources Corp. · Derivative | 1,956,880 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001539497-23-000474 · ownership.xml · derivative · entry 1 Kehler Dean C · CIK 0001322745 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,956,880 Underlying: Common Shares · 1,956,880 shares Expires not disclosed F1 · derivative.exercise_price: These shares of Class B common stock of Elk Creek Resources Corp. (f/k/a GX Acquisiton Corp. II) ("Elk Class B Shares"), an indirect subsidiary of the Issuer, are exchangeable for the Issuer's common shares on a one-for-one basis. These shares have no expiration date. F2 · kind: On March 17, 2023, the Issuer consummated the business combination ("Business Combination") contemplated by the Business Combination Agreement, dated as of September 25, 2022, as amended (the "Business Combination Agreement"), entered into by and among GX Acquisiton Corp. II, the Issuer, and Big Red Merger Sub Ltd, a wholly owned subsidiary of the Issuer. After the closing of the Business Combination, GX Acquisiton Corp. II changed its name to "Elk Creek Resources Corp." GX Sponsor II LLC ("Sponsor") acquired Issuer securities and derivatives thereof in the Business Combination on behalf of its members, which were then immediately distributed to Sponsor's members, including the reporting person, on a pro rata basis for no consideration. The reporting person is a managing member of Sponsor with shared voting and investment discretion with respect to securities held of record by Sponsor, and therefore, previously indirectly beneficially owned these securities through Sponsor. F3 · shares: Includes 834,060 unvested Elk Class B Shares. F2 · price: On March 17, 2023, the Issuer consummated the business combination ("Business Combination") contemplated by the Business Combination Agreement, dated as of September 25, 2022, as amended (the "Business Combination Agreement"), entered into by and among GX Acquisiton Corp. II, the Issuer, and Big Red Merger Sub Ltd, a wholly owned subsidiary of the Issuer. After the closing of the Business Combination, GX Acquisiton Corp. II changed its name to "Elk Creek Resources Corp." GX Sponsor II LLC ("Sponsor") acquired Issuer securities and derivatives thereof in the Business Combination on behalf of its members, which were then immediately distributed to Sponsor's members, including the reporting person, on a pro rata basis for no consideration. The reporting person is a managing member of Sponsor with shared voting and investment discretion with respect to securities held of record by Sponsor, and therefore, previously indirectly beneficially owned these securities through Sponsor. F4 · derivative.exercise_date: Unvested Elk Class B Shars will vest if, from the closing of the Business Combination until the tenth anniversary thereof, the volume-weighted average price ("VWAP") of the Issuer's common shares exceeds certain thresholds as follows: (a) one-half will vest if the VWAP of the Issuer's common shares exceeds $12.50 for any 20 trading days within any 30 trading day period, and (b) the remaining half will vest if the VWAP of the Issuer's common shares exceeds $15.00 for any 20 trading days within any 30 trading day period. F4 · derivative.expiration_date: Unvested Elk Class B Shars will vest if, from the closing of the Business Combination until the tenth anniversary thereof, the volume-weighted average price ("VWAP") of the Issuer's common shares exceeds certain thresholds as follows: (a) one-half will vest if the VWAP of the Issuer's common shares exceeds $12.50 for any 20 trading days within any 30 trading day period, and (b) the remaining half will vest if the VWAP of the Issuer's common shares exceeds $15.00 for any 20 trading days within any 30 trading day period. Read SEC document |
| November 28, 2022 Filed Nov 29, 2022 17:24 UTC |
Guerrero-Mahon NilsaDirector
|
Exercise / conversionDirector Stock Option (right to buy) · Derivative | 300,000 | $0.00 Strike: $0.40 | $0.00 |
DisclosureSEC source: 0001539497-22-001875 · ownership.xml · derivative · entry 6 Guerrero-Mahon Nilsa · CIK 0001718789 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 300,000 shares Expires 2023-11-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$0.54 using an exchange rate of C$1.3377 = US$1.00 as reported by the Bank of Canada on November 25, 2022. F5 · derivative.exercise_date: The option, representing a right to purchase a total of 300,000 Common Shares, became exercisable in installments as follows: 50% on May 15, 2019; 25% on November 15, 2019; and 25% on May 15, 2020. Read SEC document |
| November 28, 2022 Filed Nov 29, 2022 17:24 UTC |
Guerrero-Mahon NilsaDirector
|
Exercise / conversionDirector Stock Option (right to buy) · Derivative | 500,000 | $0.00 Strike: $0.35 | $0.00 |
DisclosureSEC source: 0001539497-22-001875 · ownership.xml · derivative · entry 5 Guerrero-Mahon Nilsa · CIK 0001718789 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 500,000 shares Expires 2022-11-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$0.47 using an exchange rate of C$1.3377 = US$1.00 as reported by the Bank of Canada on November 25, 2022. F4 · derivative.exercise_date: The option, representing a right to purchase a total of 500,000 Common Shares, became exercisable on the issuance date of November 9, 2017. Read SEC document |
| November 28, 2022 Filed Nov 29, 2022 17:24 UTC |
Guerrero-Mahon NilsaDirector
|
Tax withholdingCommon Shares | 138,462 | $0.87 | $121,098.87 |
DisclosureSEC source: 0001539497-22-001875 · ownership.xml · nonDerivative · entry 4 Guerrero-Mahon Nilsa · CIK 0001718789 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 460,682 F2 · price: Sale price of common shares withheld in satisfaction of option exercise price is based on the closing price of the common shares on the Toronto Stock Exchange on November 25, 2022 of C$1.17, which was converted using an exchange rate of C$1.3377 = US$1.00 as reported by the Bank of Canada on November 25, 2022. Read SEC document |
| November 28, 2022 Filed Nov 29, 2022 17:24 UTC |
Guerrero-Mahon NilsaDirector
|
Exercise / conversionCommon Shares | 300,000 | $0.40 | $121,110.00 |
DisclosureSEC source: 0001539497-22-001875 · ownership.xml · nonDerivative · entry 3 Guerrero-Mahon Nilsa · CIK 0001718789 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 599,145 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Option exercise price reflected was converted from Canadian exercise price of C$0.54 using an exchange rate of C$1.3377 = US$1.00 as reported by the Bank of Canada on November 25, 2022. Read SEC document |
| November 28, 2022 Filed Nov 29, 2022 17:24 UTC |
Guerrero-Mahon NilsaDirector
|
Tax withholdingCommon Shares | 200,855 | $0.87 | $175,667.78 |
DisclosureSEC source: 0001539497-22-001875 · ownership.xml · nonDerivative · entry 2 Guerrero-Mahon Nilsa · CIK 0001718789 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 299,145 F2 · price: Sale price of common shares withheld in satisfaction of option exercise price is based on the closing price of the common shares on the Toronto Stock Exchange on November 25, 2022 of C$1.17, which was converted using an exchange rate of C$1.3377 = US$1.00 as reported by the Bank of Canada on November 25, 2022. Read SEC document |
| November 28, 2022 Filed Nov 29, 2022 17:24 UTC |
Guerrero-Mahon NilsaDirector
|
Exercise / conversionCommon Shares | 500,000 | $0.35 | $175,650.00 |
DisclosureSEC source: 0001539497-22-001875 · ownership.xml · nonDerivative · entry 1 Guerrero-Mahon Nilsa · CIK 0001718789 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Option exercise price reflected was converted from Canadian exercise price of C$0.47 using an exchange rate of C$1.3377 = US$1.00 as reported by the Bank of Canada on November 25, 2022. Read SEC document |
| November 28, 2022 Filed Nov 29, 2022 22:24 UTC |
Honan ScottChief Operating Officer
|
Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 300,000 | $0.00 Strike: $0.35 | $0.00 |
DisclosureSEC source: 0001539497-22-001877 · ownership.xml · derivative · entry 3 Honan Scott · CIK 0001688584 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 300,000 shares Expires 2022-11-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$0.47 using an exchange rate of C$1.3377 = US$1.00 as reported by the Bank of Canada on November 25, 2022. F3 · derivative.exercise_date: The option, representing a right to purchase a total of 300,000 Common Shares, became exercisable on the issuance date of November 9, 2017. Read SEC document |
| November 28, 2022 Filed Nov 29, 2022 22:24 UTC |
Honan ScottChief Operating Officer
|
Tax withholdingCommon Shares | 120,513 | $0.87 | $105,400.67 |
DisclosureSEC source: 0001539497-22-001877 · ownership.xml · nonDerivative · entry 2 Honan Scott · CIK 0001688584 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 544,529 F2 · price: Sale price of common shares withheld in satisfaction of option exercise price is based on the closing price of the common shares on the Toronto Stock Exchange on November 25, 2022 of C$1.17, which was converted using an exchange rate of C$1.3377 = US$1.00 as reported by the Bank of Canada on November 25, 2022. Read SEC document |
| November 28, 2022 Filed Nov 29, 2022 22:24 UTC |
Honan ScottChief Operating Officer
|
Exercise / conversionCommon Shares | 300,000 | $0.35 | $105,390.00 |
DisclosureSEC source: 0001539497-22-001877 · ownership.xml · nonDerivative · entry 1 Honan Scott · CIK 0001688584 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 665,042 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Option exercise price reflected was converted from Canadian exercise price of C$0.47 using an exchange rate of C$1.3377 = US$1.00 as reported by the Bank of Canada on November 25, 2022. Read SEC document |
| November 28, 2022 Filed Nov 29, 2022 22:25 UTC |
Shah Neal S.Chief Financial Officer
|
Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 229,000 | $0.00 Strike: $0.35 | $0.00 |
DisclosureSEC source: 0001539497-22-001878 · ownership.xml · derivative · entry 4 Shah Neal S. · CIK 0001688494 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 229,000 shares Expires 2022-11-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$0.47 using an exchange rate of C$1.3377 = US$1.00 as reported by the Bank of Canada on November 25, 2022. F3 · derivative.exercise_date: The option, representing a right to purchase a total of 229,000 Common Shares, became exercisable on the issuance date of November 9, 2017. Read SEC document |
| November 28, 2022 Filed Nov 29, 2022 22:25 UTC |
Shah Neal S.Chief Financial Officer
|
Tax withholdingCommon Shares | 80,000 | $0.87 | $69,968.00 |
DisclosureSEC source: 0001539497-22-001878 · ownership.xml · nonDerivative · entry 3 Shah Neal S. · CIK 0001688494 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 550,000 F2 · price: Sale price of common shares withheld in satisfaction of option exercise price is based on the closing price of the common shares on the Toronto Stock Exchange on November 25, 2022 of C$1.17, which was converted using an exchange rate of C$1.3377 = US$1.00 as reported by the Bank of Canada on November 25, 2022. Read SEC document |
| November 28, 2022 Filed Nov 29, 2022 22:25 UTC |
Shah Neal S.Chief Financial Officer
|
Exercise / conversionCommon Shares | 199,148 | $0.35 | $69,960.69 |
DisclosureSEC source: 0001539497-22-001878 · ownership.xml · nonDerivative · entry 2 Shah Neal S. · CIK 0001688494 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 630,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Option exercise price reflected was converted from Canadian exercise price of C$0.47 using an exchange rate of C$1.3377 = US$1.00 as reported by the Bank of Canada on November 25, 2022. Read SEC document |
| November 28, 2022 Filed Nov 29, 2022 22:25 UTC |
Shah Neal S.Chief Financial Officer
|
Exercise / conversionCommon Shares | 29,852 | $0.35 | $10,487.01 |
DisclosureSEC source: 0001539497-22-001878 · ownership.xml · nonDerivative · entry 1 Shah Neal S. · CIK 0001688494 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 430,852 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Option exercise price reflected was converted from Canadian exercise price of C$0.47 using an exchange rate of C$1.3377 = US$1.00 as reported by the Bank of Canada on November 25, 2022. Read SEC document |
| November 28, 2022 Filed Nov 29, 2022 22:27 UTC |
Sims James T.VP - External Affairs
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 350,000 | $0.00 Strike: $0.40 | $0.00 |
DisclosureSEC source: 0001539497-22-001882 · ownership.xml · derivative · entry 3 Sims James T. · CIK 0001688496 · VP - External Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 350,000 shares Expires 2023-11-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$0.54 using an exchange rate of C$1.3377 = US$1.00 as reported by the Bank of Canada on November 25, 2022. F3 · derivative.exercise_date: The option, representing a right to purchase a total of 350,000 Common Shares, became exercisable in installments as follows: 50% on May 15, 2019; 25% on November 15, 2019; and 25% on May 15, 2020. Read SEC document |
| November 28, 2022 Filed Nov 29, 2022 22:27 UTC |
Sims James T.VP - External Affairs
|
Tax withholdingCommon Shares | 161,539 | $0.87 | $141,282.01 |
DisclosureSEC source: 0001539497-22-001882 · ownership.xml · nonDerivative · entry 2 Sims James T. · CIK 0001688496 · VP - External Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 579,287 F2 · price: Sale price of common shares withheld in satisfaction of option exercise price is based on the closing price of the common shares on the Toronto Stock Exchange on November 25, 2022 of C$1.17, which was converted using an exchange rate of C$1.3377 = US$1.00 as reported by the Bank of Canada on November 25, 2022. Read SEC document |
| November 28, 2022 Filed Nov 29, 2022 22:27 UTC |
Sims James T.VP - External Affairs
|
Exercise / conversionCommon Shares | 350,000 | $0.40 | $141,295.00 |
DisclosureSEC source: 0001539497-22-001882 · ownership.xml · nonDerivative · entry 1 Sims James T. · CIK 0001688496 · VP - External Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 740,826 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Option exercise price reflected was converted from Canadian exercise price of C$0.54 using an exchange rate of C$1.3377 = US$1.00 as reported by the Bank of Canada on November 25, 2022. Read SEC document |
| November 28, 2022 Filed Nov 29, 2022 22:23 UTC |
Smith Mark A.Director · President & CEO
|
Exercise / conversionDirector Stock Option (right to buy) · Derivative | 750,000 | $0.00 Strike: $0.40 | $0.00 |
DisclosureSEC source: 0001539497-22-001872 · ownership.xml · derivative · entry 6 Smith Mark A. · CIK 0001496772 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 750,000 shares Expires 2023-11-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$0.54 using an exchange rate of C$1.3377 = US$1.00 as reported by the Bank of Canada on November 25, 2022. F5 · derivative.exercise_date: The option, representing a right to purchase a total of 750,000 Common Shares, became exercisable in installments as follows: 50% on May 15, 2019; 25% on November 15, 2019; and 25% on May 15, 2020. Read SEC document |
| November 28, 2022 Filed Nov 29, 2022 22:23 UTC |
Smith Mark A.Director · President & CEO
|
Exercise / conversionDirector Stock Option (right to buy) · Derivative | 750,000 | $0.00 Strike: $0.35 | $0.00 |
DisclosureSEC source: 0001539497-22-001872 · ownership.xml · derivative · entry 5 Smith Mark A. · CIK 0001496772 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 750,000 shares Expires 2022-11-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$0.47 using an exchange rate of C$1.3377 = US$1.00 as reported by the Bank of Canada on November 25, 2022. F4 · derivative.exercise_date: The option, representing a right to purchase a total of 750,000 Common Shares, became exercisable on the issuance date of November 9, 2017. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.