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NIOCORP DEVELOPMENTS LTD

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5368
SEC CIK
0001512228
Parsed reports
183

Last 12 months

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0 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
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Dec 202500
Jan 202600
Feb 202600
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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 dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
November 28, 2022 Filed Nov 29, 2022 22:23 UTC
Smith Mark A.Director · President & CEO
Tax withholdingCommon Shares 346,154 $0.87 $302,746.29
Disclosure

SEC source: 0001539497-22-001872 · ownership.xml · nonDerivative · entry 4

Smith Mark A. · CIK 0001496772 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,417,958

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 22:23 UTC
Smith Mark A.Director · President & CEO
Exercise / conversionCommon Shares 750,000 $0.40 $302,775.00
Disclosure

SEC source: 0001539497-22-001872 · ownership.xml · nonDerivative · entry 3

Smith Mark A. · CIK 0001496772 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,764,112

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 22:23 UTC
Smith Mark A.Director · President & CEO
Tax withholdingCommon Shares 301,283 $0.87 $263,502.11
Disclosure

SEC source: 0001539497-22-001872 · ownership.xml · nonDerivative · entry 2

Smith Mark A. · CIK 0001496772 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,014,112

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 22:23 UTC
Smith Mark A.Director · President & CEO
Exercise / conversionCommon Shares 750,000 $0.35 $263,475.00
Disclosure

SEC source: 0001539497-22-001872 · ownership.xml · nonDerivative · entry 1

Smith Mark A. · CIK 0001496772 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,315,395

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 17:26 UTC Exercise / conversionDirector Stock Option (right to buy) · Derivative 300,000 $0.00 Strike: $0.40 $0.00
Disclosure

SEC source: 0001539497-22-001880 · ownership.xml · derivative · entry 6

Morris Michael James · CIK 0001335734 · 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 17:26 UTC Exercise / conversionDirector Stock Option (right to buy) · Derivative 250,000 $0.00 Strike: $0.35 $0.00
Disclosure

SEC source: 0001539497-22-001880 · ownership.xml · derivative · entry 5

Morris Michael James · CIK 0001335734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 250,000 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 250,000 Common Shares, became exercisable on the issuance date of November 9, 2017.

Read SEC document
November 28, 2022 Filed Nov 29, 2022 17:26 UTC Tax withholdingCommon Shares 138,462 $0.87 $121,098.87
Disclosure

SEC source: 0001539497-22-001880 · ownership.xml · nonDerivative · entry 4

Morris Michael James · CIK 0001335734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 621,986

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 17:26 UTC Exercise / conversionCommon Shares 300,000 $0.40 $121,110.00
Disclosure

SEC source: 0001539497-22-001880 · ownership.xml · nonDerivative · entry 3

Morris Michael James · CIK 0001335734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 760,448

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 17:26 UTC Tax withholdingCommon Shares 100,428 $0.87 $87,834.33
Disclosure

SEC source: 0001539497-22-001880 · ownership.xml · nonDerivative · entry 2

Morris Michael James · CIK 0001335734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 460,448

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 17:26 UTC Exercise / conversionCommon Shares 250,000 $0.35 $87,825.00
Disclosure

SEC source: 0001539497-22-001880 · ownership.xml · nonDerivative · entry 1

Morris Michael James · CIK 0001335734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 560,876

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 17:23 UTC Exercise / conversionDirector Stock Option (right to buy) · Derivative 200,000 $0.00 Strike: $0.35 $0.00
Disclosure

SEC source: 0001539497-22-001871 · ownership.xml · derivative · entry 3

BELING DAVID COATES · CIK 0001398069 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 200,000 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 200,000 Common Shares, became exercisable on the issuance date of November 9, 2017.

Read SEC document
November 28, 2022 Filed Nov 29, 2022 17:23 UTC Tax withholdingCommon Shares 80,342 $0.87 $70,267.11
Disclosure

SEC source: 0001539497-22-001871 · ownership.xml · nonDerivative · entry 2

BELING DAVID COATES · CIK 0001398069 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 708,913

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 17:23 UTC Exercise / conversionCommon Shares 200,000 $0.35 $70,260.00
Disclosure

SEC source: 0001539497-22-001871 · ownership.xml · nonDerivative · entry 1

BELING DAVID COATES · CIK 0001398069 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 789,255

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
May 30, 2022 Filed Jun 1, 2022 20:15 UTC GrantDirector Stock Option (Right to Buy) · Derivative 500,000 $0.00 Strike: $0.87 $0.00
Disclosure

SEC source: 0001539497-22-001113 · ownership.xml · derivative · entry 1

Oliver Peter Robert · CIK 0001930773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Shares · 500,000 shares

Expires 2025-05-30

F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$1.10 using an exchange rate of C$1.2662 = US$1.00 as reported by the Bank of Canada on May 30, 2022.

Read SEC document
March 25, 2022 Filed Mar 25, 2022 20:00 UTC
Shah Neal S.Chief Financial Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 26,000 $0.00 Strike: $0.37 $0.00
Disclosure

SEC source: 0001539497-22-000698 · ownership.xml · derivative · entry 2

Shah Neal S. · CIK 0001688494 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 229,000

Underlying: Common Shares · 26,000 shares

Expires 2022-11-09

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$1.2545 = US$1.00 as reported by the Bank of Canada on March 24, 2022.

F2 · 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
March 25, 2022 Filed Mar 25, 2022 20:00 UTC
Shah Neal S.Chief Financial Officer
Exercise / conversionCommon Shares 26,000 $0.37 $9,742.20
Disclosure

SEC source: 0001539497-22-000698 · ownership.xml · nonDerivative · entry 1

Shah Neal S. · CIK 0001688494 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 401,000

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$1.2545 = US$1.00 as reported by the Bank of Canada on March 24, 2022.

Read SEC document
March 07, 2022 Filed Mar 8, 2022 21:54 UTC
Shah Neal S.Chief Financial Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 195,500 $0.00 Strike: $0.60 $0.00
Disclosure

SEC source: 0001539497-22-000582 · ownership.xml · derivative · entry 3

Shah Neal S. · CIK 0001688494 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,500

Underlying: Common Shares · 195,500 shares

Expires 2022-03-07

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$0.76 using an exchange rate of C$1.2750 = US$1.00 as reported by the Bank of Canada on March 4, 2022.

F4 · derivative.exercise_date: The option, representing a right to purchase a total of 400,000 Common Shares, became exercisable in installments as follows: 50% on September 2, 2017; 25% March 6, 2018; and the remaining balance on September 2, 2018.

Read SEC document
March 07, 2022 Filed Mar 8, 2022 21:54 UTC
Shah Neal S.Chief Financial Officer
Tax withholdingCommon Shares 140,170 $0.83 $116,537.34
Disclosure

SEC source: 0001539497-22-000582 · ownership.xml · nonDerivative · entry 2

Shah Neal S. · CIK 0001688494 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375,000

F3 · price: 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 March 4, 2022 of C$1.06, which was converted using an exchange rate of C$1.2750 = US$1.00 as reported by the Bank of Canada on March 4, 2022.

Read SEC document
March 07, 2022 Filed Mar 8, 2022 21:54 UTC
Shah Neal S.Chief Financial Officer
Exercise / conversionCommon Shares 195,500 $0.60 $116,537.55
Disclosure

SEC source: 0001539497-22-000582 · ownership.xml · nonDerivative · entry 1

Shah Neal S. · CIK 0001688494 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 515,170

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$0.76 using an exchange rate of C$1.2750 = US$1.00 as reported by the Bank of Canada on March 4, 2022.

F2 · balance_after: Includes 60 common shares that were erroneously reported as disposed of by the Reporting Person on the Reporting Person's Form 4 filed on March 12, 2021.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 16:02 UTC Exercise / conversionDirector Stock Option (right to buy) · Derivative 200,000 $0.00 Strike: $0.37 $0.00
Disclosure

SEC source: 0001539497-22-000564 · ownership.xml · derivative · entry 9

Wightman Anna Castner · CIK 0001688585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 200,000 shares

Expires 2022-11-09

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$0.47 using an exchange rate of C$1.2698 = US$1.00 as reported by the Bank of Canada on February 28, 2022.

F5 · derivative.exercise_date: The option, representing a right to purchase a total of 200,000 Common Shares, became exercisable on issuance date of November 9, 2017.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 16:02 UTC Exercise / conversionDirector Stock Option (right to buy) · Derivative 300,000 $0.00 Strike: $0.60 $0.00
Disclosure

SEC source: 0001539497-22-000564 · ownership.xml · derivative · entry 8

Wightman Anna Castner · CIK 0001688585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 300,000 shares

Expires 2022-03-06

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$0.76 using an exchange rate of C$1.2698 = US$1.00 as reported by the Bank of Canada on February 28, 2022.

F4 · 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 September 2, 2017; 25% March 6, 2018; and the remaining balance on September 2, 2018.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 16:02 UTC Tax withholdingCommon Shares 293,620 $0.89 $261,292.44
Disclosure

SEC source: 0001539497-22-000564 · ownership.xml · nonDerivative · entry 4

Wightman Anna Castner · CIK 0001688585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 295,620

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 February 28, 2022 of C$1.13, which was converted using an exchange rate of C$1.2698 = US$1.00 as reported by the Bank of Canada on February 28, 2022.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 16:02 UTC Exercise / conversionCommon Shares 376,806 $0.37 $139,455.90
Disclosure

SEC source: 0001539497-22-000564 · ownership.xml · nonDerivative · entry 3

Wightman Anna Castner · CIK 0001688585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 378,806

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$0.47 using an exchange rate of C$1.2698 = US$1.00 as reported by the Bank of Canada on February 28, 2022.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 16:02 UTC Tax withholdingCommon Shares 176,806 $0.89 $157,339.66
Disclosure

SEC source: 0001539497-22-000564 · ownership.xml · nonDerivative · entry 2

Wightman Anna Castner · CIK 0001688585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,806

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 February 28, 2022 of C$1.13, which was converted using an exchange rate of C$1.2698 = US$1.00 as reported by the Bank of Canada on February 28, 2022.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 16:02 UTC Exercise / conversionCommon Shares 378,576 $0.60 $226,577.74
Disclosure

SEC source: 0001539497-22-000564 · ownership.xml · nonDerivative · entry 1

Wightman Anna Castner · CIK 0001688585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 380,576

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$0.76 using an exchange rate of C$1.2698 = US$1.00 as reported by the Bank of Canada on February 28, 2022.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 21:01 UTC
Smith Mark A.Director · President & CEO
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 650,000 $0.00 Strike: $0.60 $0.00
Disclosure

SEC source: 0001539497-22-000561 · ownership.xml · derivative · entry 3

Smith Mark A. · CIK 0001496772 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 650,000 shares

Expires 2022-03-06

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$0.76 using an exchange rate of C$1.2698 = US$1.00 as reported by the Bank of Canada on February 28, 2022.

F3 · derivative.exercise_date: The option, representing a right to purchase a total of 650,000 Common Shares, became exercisable in installments as follows: 50% on September 2, 2017; 25% March 6, 2018; and the remaining balance on September 2, 2018.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 21:01 UTC
Smith Mark A.Director · President & CEO
Tax withholdingCommon Shares 437,169 $0.89 $389,036.69
Disclosure

SEC source: 0001539497-22-000561 · ownership.xml · nonDerivative · entry 2

Smith Mark A. · CIK 0001496772 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,565,395

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 February 28, 2022 of C$1.13, which was converted using an exchange rate of C$1.2698 = US$1.00 as reported by the Bank of Canada on February 28, 2022.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 21:01 UTC
Smith Mark A.Director · President & CEO
Exercise / conversionCommon Shares 650,000 $0.60 $389,025.00
Disclosure

SEC source: 0001539497-22-000561 · ownership.xml · nonDerivative · entry 1

Smith Mark A. · CIK 0001496772 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,002,564

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$0.76 using an exchange rate of C$1.2698 = US$1.00 as reported by the Bank of Canada on February 28, 2022.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 16:01 UTC Exercise / conversionDirector Stock Option (right to buy) · Derivative 350,000 $0.00 Strike: $0.60 $0.00
Disclosure

SEC source: 0001539497-22-000563 · ownership.xml · derivative · entry 3

Morris Michael James · CIK 0001335734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 350,000 shares

Expires 2022-03-06

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$0.76 using an exchange rate of C$1.2698 = US$1.00 as reported by the Bank of Canada on February 28, 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 September 2, 2017; 25% March 6, 2018; and the remaining balance on September 2, 2018.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 16:01 UTC Tax withholdingCommon Shares 235,399 $0.89 $209,481.57
Disclosure

SEC source: 0001539497-22-000563 · ownership.xml · nonDerivative · entry 2

Morris Michael James · CIK 0001335734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 310,876

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 February 28, 2022 of C$1.13, which was converted using an exchange rate of C$1.2698 = US$1.00 as reported by the Bank of Canada on February 28, 2022.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 16:01 UTC Exercise / conversionCommon Shares 350,000 $0.60 $209,475.00
Disclosure

SEC source: 0001539497-22-000563 · ownership.xml · nonDerivative · entry 1

Morris Michael James · CIK 0001335734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 546,275

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$0.76 using an exchange rate of C$1.2698 = US$1.00 as reported by the Bank of Canada on February 28, 2022.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 16:01 UTC Exercise / conversionDirector Stock Option (right to buy) · Derivative 300,000 $0.00 Strike: $0.60 $0.00
Disclosure

SEC source: 0001539497-22-000562 · ownership.xml · derivative · entry 3

BELING DAVID COATES · CIK 0001398069 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 300,000 shares

Expires 2022-03-06

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$0.76 using an exchange rate of C$1.2698 = US$1.00 as reported by the Bank of Canada on February 28, 2022.

F3 · 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 September 2, 2017; 25% March 6, 2018; and the remaining balance on September 2, 2018.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 16:01 UTC Tax withholdingCommon Shares 201,770 $0.89 $179,555.12
Disclosure

SEC source: 0001539497-22-000562 · ownership.xml · nonDerivative · entry 2

BELING DAVID COATES · CIK 0001398069 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 589,255

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 February 28, 2022 of C$1.13, which was converted using an exchange rate of C$1.2698 = US$1.00 as reported by the Bank of Canada on February 28, 2022.

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March 01, 2022 Filed Mar 3, 2022 16:01 UTC Exercise / conversionCommon Shares 300,000 $0.60 $179,550.00
Disclosure

SEC source: 0001539497-22-000562 · ownership.xml · nonDerivative · entry 1

BELING DAVID COATES · CIK 0001398069 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 791,025

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$0.76 using an exchange rate of C$1.2698 = US$1.00 as reported by the Bank of Canada on February 28, 2022.

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March 01, 2022 Filed Apr 22, 2022 16:00 UTC Amendment Tax withholdingCommon Shares 83,186 $0.89 $74,027.22
Disclosure

SEC source: 0001539497-22-000875 · ownership.xml · nonDerivative · entry 4

Wightman Anna Castner · CIK 0001688585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 293,620

F1 · shares: On March 3, 2022, the reporting person filed a Form 4 that erroneously reported the amounts of common shares acquired and withheld in connection with the full exercises on March 1, 2022 of the reporting person's director stock options, resulting in the reporting person overreporting the amount of common shares beneficially owned by the reporting person, directly, following each of such transactions. The amounts acquired and withheld in connection with such exercises and the resulting amounts of common shares beneficially owned by the reporting person, directly, following each of such transactions are as reported in this amendment.

F3 · 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 February 28, 2022 of C$1.13, which was converted using an exchange rate of C$1.2698 = US$1.00 as reported by the Bank of Canada on February 28, 2022.

F1 · balance_after: On March 3, 2022, the reporting person filed a Form 4 that erroneously reported the amounts of common shares acquired and withheld in connection with the full exercises on March 1, 2022 of the reporting person's director stock options, resulting in the reporting person overreporting the amount of common shares beneficially owned by the reporting person, directly, following each of such transactions. The amounts acquired and withheld in connection with such exercises and the resulting amounts of common shares beneficially owned by the reporting person, directly, following each of such transactions are as reported in this amendment.

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March 01, 2022 Filed Apr 22, 2022 16:00 UTC Amendment Exercise / conversionCommon Shares 200,000 $0.37 $74,020.00
Disclosure

SEC source: 0001539497-22-000875 · ownership.xml · nonDerivative · entry 3

Wightman Anna Castner · CIK 0001688585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 376,806

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 · shares: On March 3, 2022, the reporting person filed a Form 4 that erroneously reported the amounts of common shares acquired and withheld in connection with the full exercises on March 1, 2022 of the reporting person's director stock options, resulting in the reporting person overreporting the amount of common shares beneficially owned by the reporting person, directly, following each of such transactions. The amounts acquired and withheld in connection with such exercises and the resulting amounts of common shares beneficially owned by the reporting person, directly, following each of such transactions are as reported in this amendment.

F4 · price: Option exercise price reflected was converted from Canadian exercise price of C$0.47 using an exchange rate of C$1.2698 = US$1.00 as reported by the Bank of Canada on February 28, 2022.

F1 · balance_after: On March 3, 2022, the reporting person filed a Form 4 that erroneously reported the amounts of common shares acquired and withheld in connection with the full exercises on March 1, 2022 of the reporting person's director stock options, resulting in the reporting person overreporting the amount of common shares beneficially owned by the reporting person, directly, following each of such transactions. The amounts acquired and withheld in connection with such exercises and the resulting amounts of common shares beneficially owned by the reporting person, directly, following each of such transactions are as reported in this amendment.

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March 01, 2022 Filed Apr 22, 2022 16:00 UTC Amendment Tax withholdingCommon Shares 201,770 $0.89 $179,555.12
Disclosure

SEC source: 0001539497-22-000875 · ownership.xml · nonDerivative · entry 2

Wightman Anna Castner · CIK 0001688585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,806

F1 · shares: On March 3, 2022, the reporting person filed a Form 4 that erroneously reported the amounts of common shares acquired and withheld in connection with the full exercises on March 1, 2022 of the reporting person's director stock options, resulting in the reporting person overreporting the amount of common shares beneficially owned by the reporting person, directly, following each of such transactions. The amounts acquired and withheld in connection with such exercises and the resulting amounts of common shares beneficially owned by the reporting person, directly, following each of such transactions are as reported in this amendment.

F3 · 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 February 28, 2022 of C$1.13, which was converted using an exchange rate of C$1.2698 = US$1.00 as reported by the Bank of Canada on February 28, 2022.

F1 · balance_after: On March 3, 2022, the reporting person filed a Form 4 that erroneously reported the amounts of common shares acquired and withheld in connection with the full exercises on March 1, 2022 of the reporting person's director stock options, resulting in the reporting person overreporting the amount of common shares beneficially owned by the reporting person, directly, following each of such transactions. The amounts acquired and withheld in connection with such exercises and the resulting amounts of common shares beneficially owned by the reporting person, directly, following each of such transactions are as reported in this amendment.

Read SEC document
March 01, 2022 Filed Apr 22, 2022 16:00 UTC Amendment Exercise / conversionCommon Shares 300,000 $0.60 $179,550.00
Disclosure

SEC source: 0001539497-22-000875 · ownership.xml · nonDerivative · entry 1

Wightman Anna Castner · CIK 0001688585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 378,576

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 · shares: On March 3, 2022, the reporting person filed a Form 4 that erroneously reported the amounts of common shares acquired and withheld in connection with the full exercises on March 1, 2022 of the reporting person's director stock options, resulting in the reporting person overreporting the amount of common shares beneficially owned by the reporting person, directly, following each of such transactions. The amounts acquired and withheld in connection with such exercises and the resulting amounts of common shares beneficially owned by the reporting person, directly, following each of such transactions are as reported in this amendment.

F2 · price: Option exercise price reflected was converted from Canadian exercise price of C$0.76 using an exchange rate of C$1.2698 = US$1.00 as reported by the Bank of Canada on February 28, 2022.

F1 · balance_after: On March 3, 2022, the reporting person filed a Form 4 that erroneously reported the amounts of common shares acquired and withheld in connection with the full exercises on March 1, 2022 of the reporting person's director stock options, resulting in the reporting person overreporting the amount of common shares beneficially owned by the reporting person, directly, following each of such transactions. The amounts acquired and withheld in connection with such exercises and the resulting amounts of common shares beneficially owned by the reporting person, directly, following each of such transactions are as reported in this amendment.

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December 17, 2021 Filed Dec 17, 2021 16:17 UTC GrantDirector Stock Option (Right to Buy) · Derivative 300,000 $0.00 Strike: $1.06 $0.00
Disclosure

SEC source: 0001539497-21-002110 · ownership.xml · derivative · entry 1

Guerrero-Mahon Nilsa · CIK 0001718789 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Shares · 300,000 shares

Expires 2024-12-17

F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$1.36 using an exchange rate of C$1.2782=US$1.00 as reported by the Bank of Canada on December 16, 2021.

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December 17, 2021 Filed Dec 17, 2021 16:11 UTC GrantDirector Stock Option (Right to Buy) · Derivative 275,000 $0.00 Strike: $1.06 $0.00
Disclosure

SEC source: 0001539497-21-002102 · ownership.xml · derivative · entry 1

Wightman Anna Castner · CIK 0001688585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 275,000

Underlying: Common Shares · 275,000 shares

Expires 2024-12-17

F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$1.36 using an exchange rate of C$1.2782=US$1.00 as reported by the Bank of Canada on December 16, 2021.

Read SEC document
December 17, 2021 Filed Dec 17, 2021 21:12 UTC
Honan ScottChief Operating Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 300,000 $0.00 Strike: $1.06 $0.00
Disclosure

SEC source: 0001539497-21-002104 · ownership.xml · derivative · entry 1

Honan Scott · CIK 0001688584 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Shares · 300,000 shares

Expires 2024-12-17

F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$1.36 using an exchange rate of C$1.2782=US$1.00 as reported by the Bank of Canada on December 16, 2021.

Read SEC document
December 17, 2021 Filed Dec 17, 2021 21:18 UTC
Shah Neal S.Chief Financial Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 300,000 $0.00 Strike: $1.06 $0.00
Disclosure

SEC source: 0001539497-21-002112 · ownership.xml · derivative · entry 1

Shah Neal S. · CIK 0001688494 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Shares · 300,000 shares

Expires 2024-12-17

F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$1.36 using an exchange rate of C$1.2782=US$1.00 as reported by the Bank of Canada on December 16, 2021.

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December 17, 2021 Filed Dec 17, 2021 21:20 UTC
Sims James T.VP - External Affairs
GrantEmployee Stock Option (Right to Buy) · Derivative 300,000 $0.00 Strike: $1.06 $0.00
Disclosure

SEC source: 0001539497-21-002114 · ownership.xml · derivative · entry 1

Sims James T. · CIK 0001688496 · VP - External Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Shares · 300,000 shares

Expires 2024-12-17

F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$1.36 using an exchange rate of C$1.2782=US$1.00 as reported by the Bank of Canada on December 16, 2021.

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December 17, 2021 Filed Dec 17, 2021 21:21 UTC
Smith Mark A.Director · President & CEO
GrantEmployee Stock Option (Right to Buy) · Derivative 650,000 $0.00 Strike: $1.06 $0.00
Disclosure

SEC source: 0001539497-21-002116 · ownership.xml · derivative · entry 1

Smith Mark A. · CIK 0001496772 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 650,000

Underlying: Common Shares · 650,000 shares

Expires 2024-12-17

F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$1.36 using an exchange rate of C$1.2782=US$1.00 as reported by the Bank of Canada on December 16, 2021.

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December 17, 2021 Filed Dec 17, 2021 16:15 UTC GrantDirector Stock Option (Right to Buy) · Derivative 325,000 $0.00 Strike: $1.06 $0.00
Disclosure

SEC source: 0001539497-21-002108 · ownership.xml · derivative · entry 1

Morris Michael James · CIK 0001335734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 325,000

Underlying: Common Shares · 325,000 shares

Expires 2024-12-17

F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$1.36 using an exchange rate of C$1.2782=US$1.00 as reported by the Bank of Canada on December 16, 2021.

Read SEC document
December 17, 2021 Filed Dec 17, 2021 19:19 UTC GrantDirector Stock Option (Right to Buy) · Derivative 275,000 $0.00 Strike: $1.06 $0.00
Disclosure

SEC source: 0001539497-21-002122 · ownership.xml · derivative · entry 1

BELING DAVID COATES · CIK 0001398069 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 275,000

Underlying: Common Shares · 275,000 shares

Expires 2024-12-17

F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$1.36 using an exchange rate of C$1.2782=US$1.00 as reported by the Bank of Canada on December 16, 2021.

Read SEC document
December 17, 2021 Filed Dec 17, 2021 21:14 UTC GrantDirector Stock Option (Right to Buy) · Derivative 275,000 $0.00 Strike: $1.06 $0.00
Disclosure

SEC source: 0001539497-21-002106 · ownership.xml · derivative · entry 1

Klamas Fernanda reda Fenga Viana · CIK 0001836395 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 275,000

Underlying: Common Shares · 275,000 shares

Expires 2024-12-17

F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$1.36 using an exchange rate of C$1.2782=US$1.00 as reported by the Bank of Canada on December 16, 2021.

Read SEC document
September 16, 2021 Filed Sep 17, 2021 16:31 UTC Exercise / conversionEmployee Stock Option (right to buy) · Derivative 500,000 $0.00 Strike: $0.74 $0.00
Disclosure

SEC source: 0001539497-21-001373 · ownership.xml · derivative · entry 6

Wightman Anna Castner · CIK 0001688585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 500,000 shares

Expires 2021-09-23

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$0.94 using an exchange rate of C$1.2651 = US$1.00 as reported by the Bank of Canada on September 15, 2021.

F3 · derivative.exercise_date: The option, representing a right to purchase a total of 500,000 Common Shares, became exercisable as follows: 50% on issuance date of July 21, 2016; 25% on January 21, 2017; and the remaining balance on July 21, 2017.

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September 16, 2021 Filed Sep 17, 2021 16:31 UTC Tax withholdingCommon Shares 423,424 $0.88 $371,512.22
Disclosure

SEC source: 0001539497-21-001373 · ownership.xml · nonDerivative · entry 2

Wightman Anna Castner · CIK 0001688585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,576

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 September 15, 2021 of C$1.11, which was converted using an exchange rate of C$1.2651 = US$1.00 as reported by the Bank of Canada on September 15, 2021.

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September 16, 2021 Filed Sep 17, 2021 16:31 UTC Exercise / conversionCommon Shares 500,000 $0.74 $371,500.00
Disclosure

SEC source: 0001539497-21-001373 · ownership.xml · nonDerivative · entry 1

Wightman Anna Castner · CIK 0001688585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 502,000

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$0.94 using an exchange rate of C$1.2651 = US$1.00 as reported by the Bank of Canada on September 15, 2021.

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.