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 |
|---|---|---|---|---|---|---|
| September 18, 2020 Filed Oct 20, 2020 20:57 UTC Amendment |
Carrabba Joseph ADirector
|
GrantDirector Stock Option (Right to Buy) · Derivative | 250,000 | $0.00 Strike: $0.64 | $0.00 |
DisclosureSEC source: 0001785982-20-000926 · sf0037h_form4.xml · derivative · entry 1 Carrabba Joseph A · CIK 0001328270 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Shares · 250,000 shares Expires 2023-09-18 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$0.84 using an exchange rate of C$1.3200=US$1.00 as reported by the Bank of Canada on September 17, 2020. Read SEC document |
| September 18, 2020 Filed Oct 20, 2020 16:59 UTC Amendment |
Morris Michael JamesDirector
|
GrantDirector Stock Option (Right to Buy) · Derivative | 250,000 | $0.00 Strike: $0.64 | $0.00 |
DisclosureSEC source: 0001785982-20-000927 · sf0038h_form4.xml · derivative · entry 1 Morris Michael James · CIK 0001335734 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Shares · 250,000 shares Expires 2023-09-18 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$0.84 using an exchange rate of C$1.3200=US$1.00 as reported by the Bank of Canada on September 17, 2020. Read SEC document |
| September 18, 2020 Filed Oct 20, 2020 16:56 UTC Amendment |
BELING DAVID COATESDirector
|
GrantDirector Stock Option (Right to Buy) · Derivative | 250,000 | $0.00 Strike: $0.64 | $0.00 |
DisclosureSEC source: 0001785982-20-000925 · sf0036h_form4.xml · derivative · entry 1 BELING DAVID COATES · CIK 0001398069 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Shares · 250,000 shares Expires 2023-09-18 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$0.84 using an exchange rate of C$1.3200=US$1.00 as reported by the Bank of Canada on September 17, 2020. Read SEC document |
| June 17, 2020 Filed Jun 17, 2020 22:16 UTC |
Shah Neal S.Chief Financial Officer
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 45,500 | $0.00 Strike: $0.46 | $0.00 |
DisclosureSEC source: 0001785982-20-000555 · ownership.xml · derivative · entry 2 Shah Neal S. · CIK 0001688494 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 304,500 Underlying: Common Shares · 45,500 shares Expires 2021-01-20 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$0.62 using an exchange rate of C$1.3558 = US$1.00 as reported by the Bank of Canada on June 16, 2020 F2 · 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 July 21, 2016; 25% on January 21, 2017; and the remaining balance on July 21, 2017. Read SEC document |
| June 17, 2020 Filed Jun 17, 2020 22:16 UTC |
Shah Neal S.Chief Financial Officer
|
Exercise / conversionCommon Shares | 45,500 | $0.46 | $20,807.15 |
DisclosureSEC source: 0001785982-20-000555 · ownership.xml · nonDerivative · entry 1 Shah Neal S. · CIK 0001688494 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 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$0.62 using an exchange rate of C$1.3558 = US$1.00 as reported by the Bank of Canada on June 16, 2020 Read SEC document |
| June 17, 2020 Filed Jun 17, 2020 22:23 UTC |
Sims James T.VP - External Affairs
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $0.46 | $0.00 |
DisclosureSEC source: 0001785982-20-000557 · ownership.xml · derivative · entry 2 Sims James T. · CIK 0001688496 · VP - External Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 475,000 Underlying: Common Shares · 25,000 shares Expires 2021-01-20 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$0.62 using an exchange rate of C$1.3558 = US$1.00 as reported by the Bank of Canada on June 16, 2020 F2 · derivative.exercise_date: The option, representing a right to purchase a total of 500,000 Common Shares, became exercisable in installments, as follows: 50% on July 21, 2016; 25% on January 21, 2017; and the remaining balance on July 21, 2017. Read SEC document |
| June 17, 2020 Filed Jun 17, 2020 22:23 UTC |
Sims James T.VP - External Affairs
|
Exercise / conversionCommon Shares | 25,000 | $0.46 | $11,432.50 |
DisclosureSEC source: 0001785982-20-000557 · ownership.xml · nonDerivative · entry 1 Sims James T. · CIK 0001688496 · VP - External Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,419 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$0.62 using an exchange rate of C$1.3558 = US$1.00 as reported by the Bank of Canada on June 16, 2020 Read SEC document |
| February 24, 2020 Filed Feb 24, 2020 22:17 UTC |
Smith Mark A.Director · President & CEO
|
PurchaseCommon Shares | 100,000 | $0.53 | $53,000.00 |
DisclosureSEC source: 0001213900-20-004667 · ownership.xml · nonDerivative · entry 1 Smith Mark A. · CIK 0001496772 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,000,000 Read SEC document |
| November 25, 2019 Filed Nov 26, 2019 16:00 UTC |
Wightman Anna CastnerDirector
|
PurchaseCommon Shares | 2,000 | $0.60 | $1,191.00 |
DisclosureSEC source: 0001213900-19-024726 · ownership.xml · nonDerivative · entry 1 Wightman Anna Castner · CIK 0001688585 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Read SEC document |
| November 22, 2019 Filed Nov 22, 2019 21:30 UTC |
Smith Mark A.Director · President & CEO
|
PurchaseCommon Shares | 14,555 | $0.59 | $8,543.79 |
DisclosureSEC source: 0001213900-19-024478 · ownership.xml · nonDerivative · entry 1 Smith Mark A. · CIK 0001496772 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,900,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.5545 to $0.5950, inclusive. The reporting person undertakes to provide to NioCorp Developments Ltd., any security holder of NioCorp Developments Ltd., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4. Read SEC document |
| December 17, 2018 Filed Dec 18, 2018 21:31 UTC |
Smith Mark A.Director · President & CEO
|
OtherWarrant (Right to Buy) · Derivative | 115,000 | $0.00 Strike: $0.56 | $0.00 |
DisclosureSEC source: 0001615774-18-014587 · s114803.xml · derivative · entry 2 Smith Mark A. · CIK 0001496772 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 115,000 shares Expires 2019-01-15 F1 · derivative.exercise_price: Warrant exercise price reflected was converted from Canadian exercise price of C$0.75 using an exchange rate of C$1.3379 = US$1.00 as reported by the Bank of Canada on December 14, 2018. Read SEC document |
| December 17, 2018 Filed Dec 18, 2018 21:31 UTC |
Smith Mark A.Director · President & CEO
|
OtherCommon Shares | 115,000 | $0.56 | $64,469.00 |
DisclosureSEC source: 0001615774-18-014587 · s114803.xml · nonDerivative · entry 1 Smith Mark A. · CIK 0001496772 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,885,445 F1 · price: Warrant exercise price reflected was converted from Canadian exercise price of C$0.75 using an exchange rate of C$1.3379 = US$1.00 as reported by the Bank of Canada on December 14, 2018. Read SEC document |
| November 15, 2018 Filed Dec 6, 2018 17:43 UTC |
Wightman Anna CastnerDirector
|
GrantDirector Stock Option (Right to Buy) · Derivative | 300,000 | $0.00 Strike: $0.42 | $0.00 |
DisclosureSEC source: 0001615774-18-013964 · ownership.xml · derivative · entry 1 Wightman Anna Castner · CIK 0001688585 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Shares · 300,000 shares Expires 2023-11-15 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$0.54 using an exchange rate of C$1.2773=US$1.00 as reported by the Bank of Canada on November 15, 2018. F2 · derivative.exercise_date: The option vests as follows: 50% on 05/15/2019; 25% on 11/15/2019; 25% on 05/15/2020. Read SEC document |
| November 15, 2018 Filed Dec 6, 2018 22:53 UTC |
Shah Neal S.Chief Financial Officer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 350,000 | $0.00 Strike: $0.42 | $0.00 |
DisclosureSEC source: 0001615774-18-013970 · ownership.xml · derivative · entry 1 Shah Neal S. · CIK 0001688494 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,000 Underlying: Common Shares · 350,000 shares Expires 2023-11-15 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$0.54 using an exchange rate of C$1.2773=US$1.00 as reported by the Bank of Canada on November 15, 2018. F2 · derivative.exercise_date: The option vests as follows: 50% on 05/15/2019; 25% on 11/15/2019; 25% on 05/15/2020. Read SEC document |
| November 15, 2018 Filed Dec 6, 2018 17:50 UTC |
Guerrero-Mahon NilsaDirector
|
GrantDirector Stock Option (Right to Buy) · Derivative | 300,000 | $0.00 Strike: $0.42 | $0.00 |
DisclosureSEC source: 0001615774-18-013968 · 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 2023-11-15 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$0.54 using an exchange rate of C$1.2773=US$1.00 as reported by the Bank of Canada on November 15, 2018. F2 · derivative.exercise_date: The option vests as follows: 50% on 05/15/2019; 25% on 11/15/2019; 25% on 05/15/2020. Read SEC document |
| November 15, 2018 Filed Dec 6, 2018 22:46 UTC |
Honan ScottVP - Business Development
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 350,000 | $0.00 Strike: $0.42 | $0.00 |
DisclosureSEC source: 0001615774-18-013966 · ownership.xml · derivative · entry 1 Honan Scott · CIK 0001688584 · VP - Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,000 Underlying: Common Shares · 350,000 shares Expires 2023-11-15 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$0.54 using an exchange rate of C$1.2773=US$1.00 as reported by the Bank of Canada on November 15, 2018. F2 · derivative.exercise_date: The option vests as follows: 50% on 05/15/2019; 25% on 11/15/2019; 25% on 05/15/2020. Read SEC document |
| November 15, 2018 Filed Dec 6, 2018 22:34 UTC |
Sims James T.VP - External Affairs
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 350,000 | $0.00 Strike: $0.42 | $0.00 |
DisclosureSEC source: 0001615774-18-013957 · ownership.xml · derivative · entry 1 Sims James T. · CIK 0001688496 · VP - External Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,000 Underlying: Common Shares · 350,000 shares Expires 2023-11-15 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$0.54 using an exchange rate of C$1.2773=US$1.00 as reported by the Bank of Canada on November 15, 2018. F2 · derivative.exercise_date: The option vests as follows: 50% on 05/15/2019; 25% on 11/15/2019; 25% on 05/15/2020. Read SEC document |
| November 15, 2018 Filed Dec 6, 2018 22:36 UTC |
Smith Mark A.Director · President & CEO
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 750,000 | $0.00 Strike: $0.42 | $0.00 |
DisclosureSEC source: 0001615774-18-013960 · s114551_form4.xml · derivative · entry 1 Smith Mark A. · CIK 0001496772 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 750,000 Underlying: Common Shares · 750,000 shares Expires 2023-11-15 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$0.54 using an exchange rate of C$1.2773=US$1.00 as reported by the Bank of Canada on November 15, 2018. F2 · derivative.exercise_date: The option vests as follows: 50% on 05/15/2019; 25% on 11/15/2019; 25% on 05/15/2020. Read SEC document |
| November 15, 2018 Filed Dec 6, 2018 17:43 UTC |
Ashburn John F. Jr.Vice President
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 175,000 | $0.00 Strike: $0.42 | $0.00 |
DisclosureSEC source: 0001615774-18-013963 · s114553_form4.xml · derivative · entry 1 Ashburn John F. Jr. · CIK 0001496551 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,000 Underlying: Common Shares · 175,000 shares Expires 2023-11-15 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$0.54 using an exchange rate of C$1.2773=US$1.00 as reported by the Bank of Canada on November 15, 2018. F2 · derivative.exercise_date: The option vests as follows: 50% on 05/15/2019; 25% on 11/15/2019; 25% on 05/15/2020. Read SEC document |
| November 15, 2018 Filed Dec 6, 2018 22:47 UTC |
Carrabba Joseph ADirector
|
GrantDirector Stock Option (Right to Buy) · Derivative | 325,000 | $0.00 Strike: $0.42 | $0.00 |
DisclosureSEC source: 0001615774-18-013967 · s114554_form4.xml · derivative · entry 1 Carrabba Joseph A · CIK 0001328270 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 325,000 Underlying: Common Shares · 325,000 shares Expires 2023-11-15 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$0.54 using an exchange rate of C$1.2773=US$1.00 as reported by the Bank of Canada on November 15, 2018. F2 · derivative.exercise_date: The option vests as follows: 50% on 05/15/2019; 25% on 11/15/2019; 25% on 05/15/2020. Read SEC document |
| November 15, 2018 Filed Dec 6, 2018 17:52 UTC |
Morris Michael JamesDirector
|
GrantDirector Stock Option (Right to Buy) · Derivative | 300,000 | $0.00 Strike: $0.42 | $0.00 |
DisclosureSEC source: 0001615774-18-013969 · ownership.xml · derivative · entry 1 Morris Michael James · CIK 0001335734 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Shares · 300,000 shares Expires 2023-11-15 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$0.54 using an exchange rate of C$1.2773=US$1.00 as reported by the Bank of Canada on November 15, 2018. F2 · derivative.exercise_date: The option vests as follows: 50% on 05/15/2019; 25% on 11/15/2019; 25% on 05/15/2020. Read SEC document |
| November 15, 2018 Filed Dec 6, 2018 17:38 UTC |
BELING DAVID COATESDirector
|
GrantDirector Stock Option (Right to Buy) · Derivative | 300,000 | $0.00 Strike: $0.42 | $0.00 |
DisclosureSEC source: 0001615774-18-013961 · ownership.xml · derivative · entry 1 BELING DAVID COATES · CIK 0001398069 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Shares · 300,000 shares Expires 2023-11-15 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$0.54 using an exchange rate of C$1.2773=US$1.00 as reported by the Bank of Canada on November 15, 2018. F2 · derivative.exercise_date: The option vests as follows: 50% on 05/15/2019; 25% on 11/15/2019; 25% on 05/15/2020. Read SEC document |
| November 09, 2017 Filed Nov 13, 2017 17:01 UTC |
Guerrero-Mahon NilsaDirector
|
GrantDirector Stock Option (Right to Buy) · Derivative | 500,000 | $0.00 Strike: $0.37 | $0.00 |
DisclosureSEC source: 0001615774-17-006559 · s108118_form4.xml · derivative · entry 1 Guerrero-Mahon Nilsa · CIK 0001718789 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,000 Underlying: Common Shares · 500,000 shares Expires 2022-11-09 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of $0.47 using an exchange rate of C$1.2692=US$1.00. F2 · derivative.exercise_date: This option is fully vested Read SEC document |
| November 09, 2017 Filed Nov 13, 2017 17:01 UTC |
Wightman Anna CastnerDirector
|
GrantDirector Stock Option (Right to Buy) · Derivative | 200,000 | $0.00 Strike: $0.37 | $0.00 |
DisclosureSEC source: 0001615774-17-006557 · s108110_form4.xml · derivative · entry 1 Wightman Anna Castner · CIK 0001688585 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Shares · 200,000 shares Expires 2022-11-09 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of $0.47 using an exchange rate of C$1.2692=US$1.00. F2 · derivative.exercise_date: This option is fully vested Read SEC document |
| November 09, 2017 Filed Nov 13, 2017 22:01 UTC |
Honan ScottVP - Business Development
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 300,000 | $0.00 Strike: $0.37 | $0.00 |
DisclosureSEC source: 0001615774-17-006563 · s108119_form4.xml · derivative · entry 1 Honan Scott · CIK 0001688584 · VP - Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Shares · 300,000 shares Expires 2022-11-09 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of $0.47 using an exchange rate of C$1.2692=US$1.00. F2 · derivative.exercise_date: This option is fully vested Read SEC document |
| November 09, 2017 Filed Nov 13, 2017 22:01 UTC |
Shah Neal S.Chief Financial Officer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 300,000 | $0.00 Strike: $0.37 | $0.00 |
DisclosureSEC source: 0001615774-17-006558 · s108117_form4.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 2022-11-09 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of $0.47 using an exchange rate of C$1.2692=US$1.00. F2 · derivative.exercise_date: This option is fully vested Read SEC document |
| November 09, 2017 Filed Nov 13, 2017 22:01 UTC |
Sims James T.VP - External Affairs
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 300,000 | $0.00 Strike: $0.37 | $0.00 |
DisclosureSEC source: 0001615774-17-006562 · s108112_form4.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 2022-11-09 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of $0.47 using an exchange rate of C$1.2692=US$1.00. F2 · derivative.exercise_date: This option is fully vested Read SEC document |
| November 09, 2017 Filed Nov 13, 2017 22:01 UTC |
Smith Mark A.President & CEO · 10% owner
|
GrantDirector Stock Option (Right to Buy) · Derivative | 750,000 | $0.00 Strike: $0.37 | $0.00 |
DisclosureSEC source: 0001615774-17-006556 · s108115_form4.xml · derivative · entry 1 Smith Mark A. · CIK 0001496772 · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 750,000 Underlying: Common Shares · 750,000 shares Expires 2022-11-09 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of $0.47 using an exchange rate of C$1.2692=US$1.00. F2 · derivative.exercise_date: This option is fully vested Read SEC document |
| November 09, 2017 Filed Nov 13, 2017 17:01 UTC |
Ashburn John F. Jr.Vice President
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $0.37 | $0.00 |
DisclosureSEC source: 0001615774-17-006560 · s108114_form4.xml · derivative · entry 1 Ashburn John F. Jr. · CIK 0001496551 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Shares · 100,000 shares Expires 2022-11-09 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of $0.47 using an exchange rate of C$1.2692=US$1.00. F2 · derivative.exercise_date: This option is fully vested Read SEC document |
| November 09, 2017 Filed Nov 13, 2017 22:01 UTC |
Carrabba Joseph ADirector
|
GrantDirector Stock Option (Right to Buy) · Derivative | 250,000 | $0.00 Strike: $0.37 | $0.00 |
DisclosureSEC source: 0001615774-17-006561 · s108113_form4.xml · derivative · entry 1 Carrabba Joseph A · CIK 0001328270 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Shares · 250,000 shares Expires 2022-11-09 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of $0.47 using an exchange rate of C$1.2692=US$1.00. F2 · derivative.exercise_date: This option is fully vested Read SEC document |
| November 09, 2017 Filed Nov 13, 2017 17:01 UTC |
Morris Michael JamesDirector
|
GrantDirector Stock Option (Right to Buy) · Derivative | 250,000 | $0.00 Strike: $0.37 | $0.00 |
DisclosureSEC source: 0001615774-17-006564 · s108116_form4.xml · derivative · entry 1 Morris Michael James · CIK 0001335734 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Shares · 250,000 shares Expires 2022-11-09 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of $0.47 using an exchange rate of C$1.2692=US$1.00. F2 · derivative.exercise_date: This option is fully vested Read SEC document |
| November 09, 2017 Filed Nov 13, 2017 17:01 UTC |
BELING DAVID COATESDirector
|
GrantDirector Stock Option (Right to Buy) · Derivative | 200,000 | $0.00 Strike: $0.37 | $0.00 |
DisclosureSEC source: 0001615774-17-006555 · s108111_form4.xml · derivative · entry 1 BELING DAVID COATES · CIK 0001398069 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Shares · 200,000 shares Expires 2022-11-09 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of $0.47 using an exchange rate of C$1.2692=US$1.00. F2 · derivative.exercise_date: This option is fully vested Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 23:05 UTC |
Sims James T.VP - External Affairs
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 400,000 | $0.00 Strike: $0.57 | $0.00 |
DisclosureSEC source: 0001140361-17-011067 · doc1.xml · derivative · entry 1 Sims James T. · CIK 0001688496 · VP - External Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400,000 Underlying: Common Shares · 400,000 shares Expires 2022-03-06 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of $0.76 using an exchange rate of C$1.3410=US$1.00. F2 · derivative.exercise_date: The option vests as follows: 50% on 9/2/2017; 25% on 3/6/2018; 25% on 9/2/2018. Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 18:09 UTC |
Wightman Anna CastnerDirector
|
GrantDirector Stock Option (Right to Buy) · Derivative | 300,000 | $0.00 Strike: $0.57 | $0.00 |
DisclosureSEC source: 0001140361-17-011071 · doc1.xml · derivative · entry 1 Wightman Anna Castner · CIK 0001688585 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Shares · 300,000 shares Expires 2022-03-06 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of $0.76 using an exchange rate of C$1.3410=US$1.00. F2 · derivative.exercise_date: The option vests as follows: 50% on 9/2/2017; 25% on 3/6/2018; 25% on 9/2/2018. Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 22:59 UTC |
Honan ScottVP - Business Development
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 400,000 | $0.00 Strike: $0.57 | $0.00 |
DisclosureSEC source: 0001140361-17-011061 · doc1.xml · derivative · entry 1 Honan Scott · CIK 0001688584 · VP - Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400,000 Underlying: Common Shares · 400,000 shares Expires 2022-03-06 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of $0.76 using an exchange rate of C$1.3410=US$1.00. F2 · derivative.exercise_date: The option vests as follows: 50% on 9/2/2017; 25% on 3/6/2018; 25% on 9/2/2018. Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 23:03 UTC |
Shah Neal S.Chief Financial Officer
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GrantEmployee Stock Option (Right to Buy) · Derivative | 400,000 | $0.00 Strike: $0.57 | $0.00 |
DisclosureSEC source: 0001140361-17-011065 · doc1.xml · derivative · entry 1 Shah Neal S. · CIK 0001688494 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400,000 Underlying: Common Shares · 400,000 shares Expires 2022-03-06 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of $0.76 using an exchange rate of C$1.3410=US$1.00. F2 · derivative.exercise_date: The option vests as follows: 50% on 9/2/2017; 25% on 3/6/2018; 25% on 9/2/2018. Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 23:07 UTC |
Smith Mark A.President & CEO · 10% owner
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GrantEmployee Stock Option (Right to Buy) · Derivative | 650,000 | $0.00 Strike: $0.57 | $0.00 |
DisclosureSEC source: 0001140361-17-011069 · doc1.xml · derivative · entry 1 Smith Mark A. · CIK 0001496772 · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 650,000 Underlying: Common Shares · 650,000 shares Expires 2022-03-06 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of $0.76 using an exchange rate of C$1.3410=US$1.00. F2 · derivative.exercise_date: The option vests as follows: 50% on 9/2/2017; 25% on 3/6/2018; 25% on 9/2/2018. Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 17:51 UTC |
Ashburn John F. Jr.Vice President
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GrantEmployee Stock Option (Right to Buy) · Derivative | 400,000 | $0.00 Strike: $0.57 | $0.00 |
DisclosureSEC source: 0001140361-17-011054 · doc1.xml · derivative · entry 1 Ashburn John F. Jr. · CIK 0001496551 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400,000 Underlying: Common Shares · 400,000 shares Expires 2022-03-06 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of $0.76 using an exchange rate of C$1.3410=US$1.00. F2 · derivative.exercise_date: The option vests as follows: 50% on 9/2/2017; 25% on 3/6/2018; 25% on 9/2/2018. Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 22:56 UTC |
Carrabba Joseph ADirector
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GrantDirector Stock Option (Right to Buy) · Derivative | 350,000 | $0.00 Strike: $0.57 | $0.00 |
DisclosureSEC source: 0001140361-17-011058 · doc1.xml · derivative · entry 1 Carrabba Joseph A · CIK 0001328270 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,000 Underlying: Common Shares · 350,000 shares Expires 2022-03-06 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of $0.76 using an exchange rate of C$1.3410=US$1.00. F2 · derivative.exercise_date: The option vests as follows: 50% on 9/2/2017; 25% on 3/6/2018; 25% on 9/2/2018. Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 18:01 UTC |
Morris Michael JamesDirector
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GrantDirector Stock Option (Right to Buy) · Derivative | 350,000 | $0.00 Strike: $0.57 | $0.00 |
DisclosureSEC source: 0001140361-17-011063 · doc1.xml · derivative · entry 1 Morris Michael James · CIK 0001335734 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,000 Underlying: Common Shares · 350,000 shares Expires 2022-03-06 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of $0.76 using an exchange rate of C$1.3410=US$1.00. F2 · derivative.exercise_date: The option vests as follows: 50% on 9/2/2017; 25% on 3/6/2018; 25% on 9/2/2018. Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 17:53 UTC |
BELING DAVID COATESDirector
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GrantDirector Stock Option (Right to Buy) · Derivative | 300,000 | $0.00 Strike: $0.57 | $0.00 |
DisclosureSEC source: 0001140361-17-011056 · doc1.xml · derivative · entry 1 BELING DAVID COATES · CIK 0001398069 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Shares · 300,000 shares Expires 2022-03-06 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of $0.76 using an exchange rate of C$1.3410=US$1.00. F2 · derivative.exercise_date: The option vests as follows: 50% on 9/2/2017; 25% on 3/6/2018; 25% on 9/2/2018. Read SEC document |
| February 14, 2017 Filed Feb 15, 2017 13:21 UTC |
Ashburn John F. Jr.Vice President
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GrantWarrants · Derivative | 112,226 | Not disclosed Strike: $0.65 | Not disclosed |
DisclosureSEC source: 0001140361-17-007643 · doc1.xml · derivative · entry 2 Ashburn John F. Jr. · CIK 0001496551 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,226 Underlying: Common Shares · 112,226 shares Expires 2020-02-14 F2 · derivative.exercise_price: Converted from a Canadian exercise price of $0.85 per share using an exchange rate of Cdn$1.3093=US$1.00. F3 · price: Included in purchase price of common shares reported in Table I above. Read SEC document |
| February 14, 2017 Filed Feb 15, 2017 13:21 UTC |
Ashburn John F. Jr.Vice President
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PurchaseCommon Shares | 112,226 | $0.43 | $48,773.42 |
DisclosureSEC source: 0001140361-17-007643 · doc1.xml · nonDerivative · entry 1 Ashburn John F. Jr. · CIK 0001496551 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 762,226 F1 · price: Converted from a Canadian purchase price of $0.70 per unit using an exchange rate of Cdn$1.3093=US$1.00. Unit price includes the warrants reported in Table II above. Read SEC document |
| November 04, 2016 Filed Nov 9, 2016 00:18 UTC |
Smith Mark A.President & CEO
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SaleWarrants · Derivative | 500,000 | $0.00 Strike: $0.48 | $500.00 |
DisclosureSEC source: 0001140361-16-085458 · doc1.xml · derivative · entry 3 Smith Mark A. · CIK 0001496772 · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,911,502 Underlying: Common Shares · 500,000 shares Expires 2016-11-10 F2 · derivative.exercise_price: The exercise price reported above was converted from the Canadian exercise price of $0.65 using an exchange rate of Cdn$1.3412=US$1.00 on 11/4/2016. Read SEC document |
| October 31, 2016 Filed Nov 9, 2016 00:18 UTC |
Smith Mark A.President & CEO
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OtherWarrants · Derivative | 720,730 | Not disclosed Strike: $0.49 | Not disclosed |
DisclosureSEC source: 0001140361-16-085458 · doc1.xml · derivative · entry 2 Smith Mark A. · CIK 0001496772 · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,411,502 Underlying: Common Shares · 720,730 shares Expires 2016-11-10 F1 · derivative.exercise_price: The warrants were initially purchased as part of a unit offering on 11/10/14. The warrants are governed by a Warrant Indenture dated November 10, 2014 as supplemented by a Supplemental Warrant Indenture on 5/17/16. The exercise price reported above was converted from the Canadian exercise price of $0.65 using an exchange rate of Cdn$1.13403=US$1.00 on 10/31/2016. F1 · price: The warrants were initially purchased as part of a unit offering on 11/10/14. The warrants are governed by a Warrant Indenture dated November 10, 2014 as supplemented by a Supplemental Warrant Indenture on 5/17/16. The exercise price reported above was converted from the Canadian exercise price of $0.65 using an exchange rate of Cdn$1.13403=US$1.00 on 10/31/2016. Read SEC document |
| October 31, 2016 Filed Nov 9, 2016 00:18 UTC |
Smith Mark A.President & CEO
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OtherCommon Shares | 720,730 | $0.49 | $349,554.05 |
DisclosureSEC source: 0001140361-16-085458 · doc1.xml · nonDerivative · entry 1 Smith Mark A. · CIK 0001496772 · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,770,445 F1 · price: The warrants were initially purchased as part of a unit offering on 11/10/14. The warrants are governed by a Warrant Indenture dated November 10, 2014 as supplemented by a Supplemental Warrant Indenture on 5/17/16. The exercise price reported above was converted from the Canadian exercise price of $0.65 using an exchange rate of Cdn$1.13403=US$1.00 on 10/31/2016. 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.