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NOVAGOLD RESOURCES INC

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1348
SEC CIK
0001173420
Parsed reports
757

Last 12 months

Inside the activity.

2 purchase rows · 1 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202601
Feb 202620
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 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
January 24, 2020 Filed Jan 27, 2020 16:19 UTC Exercise / conversionCommon Shares 79,700 $3.82 $304,454.00
Disclosure

SEC source: 0001214659-20-000602 · marketforms-47563.xml · nonDerivative · entry 1

Walsh Anthony P. · CIK 0001593111 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,827

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: The exercise price reported above was converted from the Canadian exercise price of C$5.02 using an exchange rate of CAD $1.3140=USD $1.00.

Read SEC document
January 02, 2020 Filed Jan 3, 2020 20:58 UTC
Lang Gregory A.Director · President and CEO
Exercise / conversionStock Option (Right to Buy) · Derivative 125,000 $0.00 Strike: $3.86 $0.00
Disclosure

SEC source: 0001214659-20-000109 · marketforms-47060.xml · derivative · entry 6

Lang Gregory A. · CIK 0001562640 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,378,800

Underlying: Common Shares · 125,000 shares

Expires 2020-11-30

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: The price reported above was converted from the Canadian exercise price of C$5.02 to USD using an exchange rate of CAD$1.2992=USD$1.00.

F5 · derivative.exercise_date: These options vested as follows: 1/3 on 12/1/2015; 1/3 on 12/1/2016; and 1/3 on 12/1/2017.

Read SEC document
January 02, 2020 Filed Jan 3, 2020 20:58 UTC
Lang Gregory A.Director · President and CEO
OtherCommon Shares 7,389 $0.00 $0.00
Disclosure

SEC source: 0001214659-20-000109 · marketforms-47060.xml · nonDerivative · entry 5

Lang Gregory A. · CIK 0001562640 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Trust

Disclosed balance after: 1,807,449

Read SEC document
January 02, 2020 Filed Jan 3, 2020 20:58 UTC
Lang Gregory A.Director · President and CEO
OtherCommon Shares 7,389 $0.00 $0.00
Disclosure

SEC source: 0001214659-20-000109 · marketforms-47060.xml · nonDerivative · entry 4

Lang Gregory A. · CIK 0001562640 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 316

F4 · kind: These shares were transferred to a trust for the benefit of the reporting person's family. The reporting person is the trustee and sole primary beneficiary of the family trust.

Read SEC document
January 02, 2020 Filed Jan 3, 2020 20:58 UTC
Lang Gregory A.Director · President and CEO
SaleCommon Shares 62,768 $8.79 $551,730.72
Disclosure

SEC source: 0001214659-20-000109 · marketforms-47060.xml · nonDerivative · entry 3

Lang Gregory A. · CIK 0001562640 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,705

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from C$11.39 to C$11.45, inclusive. The reporting person undertakes to provide to NOVAGOLD RESOURCES INC., any security holder of NOVAGOLD RESOURCES INC., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The weighted average sales price reported above was converted from the Canadian weighted average sales price of C$11.42 using an exchange rate of CAD$1.2992=USD$1.00.

Read SEC document
January 02, 2020 Filed Jan 3, 2020 20:58 UTC
Lang Gregory A.Director · President and CEO
Tax withholdingCommon Shares 54,843 $8.81 $483,166.83
Disclosure

SEC source: 0001214659-20-000109 · marketforms-47060.xml · nonDerivative · entry 2

Lang Gregory A. · CIK 0001562640 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,473

F2 · price: The price reported in Column 4 is a weighted average price. These shares were withheld in multiple transactions ranging from C$11.44 to C$11.45 inclusive. The reporting person undertakes to provide to NOVAGOLD RESOURCES INC., any security holder of NOVAGOLD RESOURCES INC., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares withheld at each separate price within the ranges set forth in this footnote. The weighted average price was converted from the Canadian weighted average price of C$11.44 using an exchange rate of CAD$1.2992=USD$1.00.

Read SEC document
January 02, 2020 Filed Jan 3, 2020 20:58 UTC
Lang Gregory A.Director · President and CEO
Exercise / conversionCommon Shares 125,000 $3.86 $482,500.00
Disclosure

SEC source: 0001214659-20-000109 · marketforms-47060.xml · nonDerivative · entry 1

Lang Gregory A. · CIK 0001562640 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,316

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: The price reported above was converted from the Canadian exercise price of C$5.02 to USD using an exchange rate of CAD$1.2992=USD$1.00.

Read SEC document
December 31, 2019 Filed Jan 2, 2020 20:24 UTC
Lang Gregory A.Director · President and CEO
GrantCommon Shares 316 $7.51 $2,373.16
Disclosure

SEC source: 0001214659-20-000033 · marketforms-47052.xml · nonDerivative · entry 1

Lang Gregory A. · CIK 0001562640 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 316

F1 · shares: Represents shares acquired under the NOVAGOLD RESOURCES INC. Employee Stock Purchase Plan on December 19, 2019.

Read SEC document
December 31, 2019 Filed Jan 2, 2020 20:26 UTC
Ottewell David A.Vice President & CFO
GrantCommon Shares 1,107 $6.86 $7,594.02
Disclosure

SEC source: 0001214659-20-000034 · marketforms-47051.xml · nonDerivative · entry 1

Ottewell David A. · CIK 0001515674 · Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 616,056

F1 · shares: Represents shares acquired under the NOVAGOLD RESOURCES INC. Employee Stock Purchase Plan during the fourth calendar quarter of 2019.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions over a three-month period at prices ranging from $6.31 to $7.51, inclusive. The reporting person undertakes to provide to NOVAGOLD RESOURCES INC., any security holder of NOVAGOLD RESOURCES INC., 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 ranges set forth in this footnote.

Read SEC document
December 13, 2019 Filed Dec 16, 2019 19:50 UTC
Lang Gregory A.Director · President and CEO
GiftCommon Shares 38,400 $0.00 $0.00
Disclosure

SEC source: 0001214659-19-007743 · marketforms-46859.xml · nonDerivative · entry 4

Lang Gregory A. · CIK 0001562640 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Trust

Disclosed balance after: 1,800,060

F5 · ownership.nature: This is a trust for the benefit of the reporting person's family. The reporting person is the trustee and the sole primary beneficiary of the family trust.

Read SEC document
December 12, 2019 Filed Dec 16, 2019 19:50 UTC
Lang Gregory A.Director · President and CEO
OtherCommon Shares 259,330 $0.00 $0.00
Disclosure

SEC source: 0001214659-19-007743 · marketforms-46859.xml · nonDerivative · entry 3

Lang Gregory A. · CIK 0001562640 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Trust

Disclosed balance after: 1,838,460

F4 · kind: The shares were transferred to the Gregory and Sharon Lang Family Survivors Trust dtd 12/27/2005, a trust established for the benefit of the reporting person's family (the "Trust"). Previously it was mistakenly reported that the reporting person was not a beneficiary of the Trust; however, the reporting person is the trustee and sole primary beneficiary of the Trust.

F5 · ownership.nature: This is a trust for the benefit of the reporting person's family. The reporting person is the trustee and the sole primary beneficiary of the family trust.

Read SEC document
December 12, 2019 Filed Dec 16, 2019 19:50 UTC
Lang Gregory A.Director · President and CEO
OtherCommon Shares 259,330 $0.00 $0.00
Disclosure

SEC source: 0001214659-19-007743 · marketforms-46859.xml · nonDerivative · entry 2

Lang Gregory A. · CIK 0001562640 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F4 · kind: The shares were transferred to the Gregory and Sharon Lang Family Survivors Trust dtd 12/27/2005, a trust established for the benefit of the reporting person's family (the "Trust"). Previously it was mistakenly reported that the reporting person was not a beneficiary of the Trust; however, the reporting person is the trustee and sole primary beneficiary of the Trust.

Read SEC document
December 12, 2019 Filed Dec 16, 2019 19:50 UTC
Lang Gregory A.Director · President and CEO
GrantCommon Shares 1,762 $6.74 $11,875.88
Disclosure

SEC source: 0001214659-19-007743 · marketforms-46859.xml · nonDerivative · entry 1

Lang Gregory A. · CIK 0001562640 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 259,330

F1 · shares: Represents shares acquired under the NOVAGOLD RESOURCES INC. Employee Stock Purchase Plan to date during the fourth calendar quarter of 2019.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions over a two and one-half-month period at prices ranging from $6.31 to $7.12, inclusive. The reporting person undertakes to provide to NOVAGOLD RESOURCES INC., any security holder of NOVAGOLD RESOURCES INC., 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 ranges set forth in this footnote.

F3 · balance_after: The total number of ESPP shares held by the reporting person was initially underreported on Form 3 by 396 shares. This total has been corrected to include those 396 ESPP shares.

Read SEC document
December 05, 2019 Filed Dec 6, 2019 16:21 UTC
Ottewell David A.Vice President & CFO
Exercise / conversionCommon Shares · Derivative 216,614 $0.00 Strike: $4.58 $0.00
Disclosure

SEC source: 0001214659-19-007595 · marketforms-46791.xml · derivative · entry 4

Ottewell David A. · CIK 0001515674 · Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,386

Underlying: Common Shares · 216,614 shares

Expires 2021-11-30

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.

F2 · derivative.exercise_date: The options vested as follows: 1/3 on 12/1/2016; 1/3 on 12/1/2017; 1/3 on 12/1/2018.

Read SEC document
December 05, 2019 Filed Dec 6, 2019 16:21 UTC
Ottewell David A.Vice President & CFO
SaleCommon Shares 78,611 $7.19 $565,213.09
Disclosure

SEC source: 0001214659-19-007595 · marketforms-46791.xml · nonDerivative · entry 3

Ottewell David A. · CIK 0001515674 · Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 614,949

F1 · price: The price reported in Column 4 above is a weighted average price. These shares were withheld or sold in multiple transactions at prices ranging from $7.15 to $7.27, inclusive. The reporting person undertakes to provide to NOVAGOLD RESOURCES INC, any security holder of NOVAGOLD RESOURCES INC., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares withheld or sold at each separate price within the ranges set forth in this footnote.

Read SEC document
December 05, 2019 Filed Dec 6, 2019 16:21 UTC
Ottewell David A.Vice President & CFO
Tax withholdingCommon Shares 138,003 $7.19 $992,241.57
Disclosure

SEC source: 0001214659-19-007595 · marketforms-46791.xml · nonDerivative · entry 2

Ottewell David A. · CIK 0001515674 · Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 693,560

F1 · price: The price reported in Column 4 above is a weighted average price. These shares were withheld or sold in multiple transactions at prices ranging from $7.15 to $7.27, inclusive. The reporting person undertakes to provide to NOVAGOLD RESOURCES INC, any security holder of NOVAGOLD RESOURCES INC., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares withheld or sold at each separate price within the ranges set forth in this footnote.

Read SEC document
December 05, 2019 Filed Dec 6, 2019 16:21 UTC
Ottewell David A.Vice President & CFO
Exercise / conversionCommon Shares 216,614 $4.58 $992,092.12
Disclosure

SEC source: 0001214659-19-007595 · marketforms-46791.xml · nonDerivative · entry 1

Ottewell David A. · CIK 0001515674 · Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 831,563

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.

Read SEC document
December 02, 2019 Filed Dec 2, 2019 17:22 UTC GrantCommon Shares 647 $0.00 $0.00
Disclosure

SEC source: 0001214659-19-007494 · marketforms-46722.xml · nonDerivative · entry 1

GARRETT DIANE R · CIK 0001170429 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,171

F1 · shares: Grant of Deferred Share Units (DSUs). Each DSU is the economic equivalent of one share of the Issuer's common stock. The underlying common shares will not be issued to the reporting person, and the reporting person shall not have any voting or dispositive rights with respect to the underlying common shares, until termination of the reporting person's employment or services as a director of NOVAGOLD RESOURCES INC. The grants will expire no later than 90 days after the reporting person's termination date.

Read SEC document
December 02, 2019 Filed Dec 2, 2019 17:23 UTC GrantCommon Shares 647 $0.00 $0.00
Disclosure

SEC source: 0001214659-19-007496 · marketforms-46721.xml · nonDerivative · entry 1

Nauman Clynton R. · CIK 0001561036 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,778

F1 · shares: Grant of Deferred Share Units (DSUs). Each DSU is the economic equivalent of one share of the Issuer's common stock. The underlying common shares will not be issued to the reporting person, and the reporting person shall not have any voting or dispositive rights with respect to the underlying common shares, until termination of the reporting person's employment or services as a director of NOVAGOLD RESOURCES INC. The grants will expire no later than 90 days after the reporting person's termination date.

Read SEC document
December 02, 2019 Filed Dec 2, 2019 17:20 UTC GrantCommon Shares 647 $0.00 $0.00
Disclosure

SEC source: 0001214659-19-007493 · marketforms-46723.xml · nonDerivative · entry 1

Levental Igor · CIK 0001561844 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,504

F1 · shares: Grant of Deferred Share Units (DSUs). Each DSU is the economic equivalent of one share of the Issuer's common stock. The underlying common shares will not be issued to the reporting person, and the reporting person shall not have any voting or dispositive rights with respect to the underlying common shares, until termination of the reporting person's employment or services as a director of NOVAGOLD RESOURCES INC. The grants will expire no later than 90 days after the reporting person's termination date.

Read SEC document
December 02, 2019 Filed Dec 2, 2019 17:18 UTC
Schutt EthanDirector
GrantCommon Shares 647 $0.00 $0.00
Disclosure

SEC source: 0001214659-19-007489 · marketforms-46725.xml · nonDerivative · entry 1

Schutt Ethan · CIK 0001777347 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,415

F1 · shares: Grant of Deferred Share Units (DSUs). Each DSU is the economic equivalent of one share of the Issuer's common stock. The underlying common shares will not be issued to the reporting person, and the reporting person shall not have any voting or dispositive rights with respect to the underlying common shares, until termination of the reporting person's employment or services as a director of NOVAGOLD RESOURCES INC. The grants will expire no later than 90 days after the reporting person's termination date.

Read SEC document
December 02, 2019 Filed Dec 2, 2019 17:19 UTC GrantCommon Shares 647 $0.00 $0.00
Disclosure

SEC source: 0001214659-19-007491 · marketforms-46724.xml · nonDerivative · entry 1

MADHAVPEDDI KALIDAS V · CIK 0001192042 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,380

F1 · shares: Grant of Deferred Share Units (DSUs). Each DSU is the economic equivalent of one share of the Issuer's common stock. The underlying common shares will not be issued to the reporting person, and the reporting person shall not have any voting or dispositive rights with respect to the underlying common shares, until termination of the reporting person's employment or services as a director of NOVAGOLD RESOURCES INC. The grants will expire no later than 90 days after the reporting person's termination date.

Read SEC document
December 02, 2019 Filed Dec 2, 2019 17:16 UTC GrantCommon Shares 647 $0.00 $0.00
Disclosure

SEC source: 0001214659-19-007487 · marketforms-46727.xml · nonDerivative · entry 1

Dowdall Sharon · CIK 0001593141 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,127

F1 · shares: Grant of Deferred Share Units (DSUs). Each DSU is the economic equivalent of one share of the Issuer's common stock. The underlying common shares will not be issued to the reporting person, and the reporting person shall not have any voting or dispositive rights with respect to the underlying common shares, until termination of the reporting person's employment or services as a director of NOVAGOLD RESOURCES INC. The grants will expire no later than 90 days after the reporting person's termination date.

Read SEC document
December 02, 2019 Filed Dec 2, 2019 17:15 UTC GrantCommon Shares 647 $0.00 $0.00
Disclosure

SEC source: 0001214659-19-007485 · marketforms-46728.xml · nonDerivative · entry 1

Walsh Anthony P. · CIK 0001593111 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,127

F1 · shares: Grant of Deferred Share Units (DSUs). Each DSU is the economic equivalent of one share of the Issuer's common stock. The underlying common shares will not be issued to the reporting person, and the reporting person shall not have any voting or dispositive rights with respect to the underlying common shares, until termination of the reporting person's employment or services as a director of NOVAGOLD RESOURCES INC. The grants will expire no later than 90 days after the reporting person's termination date.

Read SEC document
December 02, 2019 Filed Dec 3, 2019 21:08 UTC GrantDeferred Share Unit · Derivative 1,294.72 $0.00 $0.00
Disclosure

SEC source: 0001493152-19-018680 · ownership.xml · derivative · entry 1

KAPLAN THOMAS SCOTT · CIK 0001124803 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,653.18

Underlying: Common Shares · 1,294.72 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit ("DSU") is the economic equivalent of one of the Issuer's common shares. The DSUs vested immediately upon issuance; however, the underlying common shares will not be issued to the reporting person, and the reporting person shall not have any voting or dispositive rights with respect to the underlying common shares, until termination of the reporting person's employment or services as a director of the Issuer. The grants will expire no later than 90 days after the reporting person's termination date.

F1 · deemedExecutionDate: Each Deferred Share Unit ("DSU") is the economic equivalent of one of the Issuer's common shares. The DSUs vested immediately upon issuance; however, the underlying common shares will not be issued to the reporting person, and the reporting person shall not have any voting or dispositive rights with respect to the underlying common shares, until termination of the reporting person's employment or services as a director of the Issuer. The grants will expire no later than 90 days after the reporting person's termination date.

F1 · derivative.exercise_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one of the Issuer's common shares. The DSUs vested immediately upon issuance; however, the underlying common shares will not be issued to the reporting person, and the reporting person shall not have any voting or dispositive rights with respect to the underlying common shares, until termination of the reporting person's employment or services as a director of the Issuer. The grants will expire no later than 90 days after the reporting person's termination date.

F1 · derivative.expiration_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one of the Issuer's common shares. The DSUs vested immediately upon issuance; however, the underlying common shares will not be issued to the reporting person, and the reporting person shall not have any voting or dispositive rights with respect to the underlying common shares, until termination of the reporting person's employment or services as a director of the Issuer. The grants will expire no later than 90 days after the reporting person's termination date.

Read SEC document
December 02, 2019 Filed Dec 3, 2019 17:12 UTC
Lang Gregory A.Director · President and CEO
Exercise / conversionPerformance Share Units ("PSUs") · Derivative 185,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001214659-19-007550 · marketforms-46729.xml · derivative · entry 6

Lang Gregory A. · CIK 0001562640 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 185,000 shares

Expires not disclosed

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: The December 1, 2017 grant totaling 185,000 Performance Share Units (PSUs), which were subject to performance criteria set by the board of directors of the Issuer, was previously voluntarily reported on Form 4. On December 2, 2019, the performance criteria were deemed to have been met with respect to the grant at 150% of the original grant amount, increasing the award to a total of 277,500 common shares.

F1 · derivative.exercise_date: The December 1, 2017 grant totaling 185,000 Performance Share Units (PSUs), which were subject to performance criteria set by the board of directors of the Issuer, was previously voluntarily reported on Form 4. On December 2, 2019, the performance criteria were deemed to have been met with respect to the grant at 150% of the original grant amount, increasing the award to a total of 277,500 common shares.

F1 · derivative.expiration_date: The December 1, 2017 grant totaling 185,000 Performance Share Units (PSUs), which were subject to performance criteria set by the board of directors of the Issuer, was previously voluntarily reported on Form 4. On December 2, 2019, the performance criteria were deemed to have been met with respect to the grant at 150% of the original grant amount, increasing the award to a total of 277,500 common shares.

Read SEC document
December 02, 2019 Filed Dec 3, 2019 17:12 UTC
Lang Gregory A.Director · President and CEO
Tax withholdingCommon Shares 123,072 $6.96 $856,581.12
Disclosure

SEC source: 0001214659-19-007550 · marketforms-46729.xml · nonDerivative · entry 2

Lang Gregory A. · CIK 0001562640 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 257,172

Read SEC document
December 02, 2019 Filed Dec 3, 2019 17:12 UTC
Lang Gregory A.Director · President and CEO
Exercise / conversionCommon Shares 277,500 $0.00 $0.00
Disclosure

SEC source: 0001214659-19-007550 · marketforms-46729.xml · nonDerivative · entry 1

Lang Gregory A. · CIK 0001562640 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 380,244

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: The December 1, 2017 grant totaling 185,000 Performance Share Units (PSUs), which were subject to performance criteria set by the board of directors of the Issuer, was previously voluntarily reported on Form 4. On December 2, 2019, the performance criteria were deemed to have been met with respect to the grant at 150% of the original grant amount, increasing the award to a total of 277,500 common shares.

Read SEC document
December 02, 2019 Filed Dec 3, 2019 17:10 UTC
Ottewell David A.Vice President & CFO
Exercise / conversionPerformance Share Units ("PSUs") · Derivative 61,700 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001214659-19-007549 · marketforms-46730.xml · derivative · entry 5

Ottewell David A. · CIK 0001515674 · Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 61,700 shares

Expires not disclosed

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 · kind: The December 1, 2017 grant totaling 61,700 Performance Share Units (PSUs), which were subject to performance criteria set by the board of directors of the Issuer, was previously voluntarily reported on Form 4. On December 2, 2019, the performance criteria were deemed to have been met with respect to the grant at 150% of the original grant amount, increasing the award to a total of 92,550 common shares.

F1 · shares: The December 1, 2017 grant totaling 61,700 Performance Share Units (PSUs), which were subject to performance criteria set by the board of directors of the Issuer, was previously voluntarily reported on Form 4. On December 2, 2019, the performance criteria were deemed to have been met with respect to the grant at 150% of the original grant amount, increasing the award to a total of 92,550 common shares.

F1 · derivative.exercise_date: The December 1, 2017 grant totaling 61,700 Performance Share Units (PSUs), which were subject to performance criteria set by the board of directors of the Issuer, was previously voluntarily reported on Form 4. On December 2, 2019, the performance criteria were deemed to have been met with respect to the grant at 150% of the original grant amount, increasing the award to a total of 92,550 common shares.

F1 · derivative.expiration_date: The December 1, 2017 grant totaling 61,700 Performance Share Units (PSUs), which were subject to performance criteria set by the board of directors of the Issuer, was previously voluntarily reported on Form 4. On December 2, 2019, the performance criteria were deemed to have been met with respect to the grant at 150% of the original grant amount, increasing the award to a total of 92,550 common shares.

F1 · derivative.underlying_shares: The December 1, 2017 grant totaling 61,700 Performance Share Units (PSUs), which were subject to performance criteria set by the board of directors of the Issuer, was previously voluntarily reported on Form 4. On December 2, 2019, the performance criteria were deemed to have been met with respect to the grant at 150% of the original grant amount, increasing the award to a total of 92,550 common shares.

Read SEC document
December 02, 2019 Filed Dec 3, 2019 17:10 UTC
Ottewell David A.Vice President & CFO
Tax withholdingCommon Shares 41,046 $6.96 $285,680.16
Disclosure

SEC source: 0001214659-19-007549 · marketforms-46730.xml · nonDerivative · entry 2

Ottewell David A. · CIK 0001515674 · Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 614,949

Read SEC document
December 02, 2019 Filed Dec 3, 2019 17:10 UTC
Ottewell David A.Vice President & CFO
Exercise / conversionCommon Shares 92,550 $0.00 $0.00
Disclosure

SEC source: 0001214659-19-007549 · marketforms-46730.xml · nonDerivative · entry 1

Ottewell David A. · CIK 0001515674 · Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 655,995

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: The December 1, 2017 grant totaling 61,700 Performance Share Units (PSUs), which were subject to performance criteria set by the board of directors of the Issuer, was previously voluntarily reported on Form 4. On December 2, 2019, the performance criteria were deemed to have been met with respect to the grant at 150% of the original grant amount, increasing the award to a total of 92,550 common shares.

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December 01, 2019 Filed Dec 2, 2019 17:22 UTC GrantStock Option (right to buy) · Derivative 54,300 $0.00 Strike: $6.96 $0.00
Disclosure

SEC source: 0001214659-19-007494 · marketforms-46722.xml · derivative · entry 2

GARRETT DIANE R · CIK 0001170429 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,300

Underlying: Common Shares · 54,300 shares

Expires 2024-11-30

F2 · derivative.exercise_date: The options vest as follows: 1/3 on 12/1/2020; 1/3 on 12/1/2021; and 1/3 on 12/1/2022.

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December 01, 2019 Filed Dec 2, 2019 17:23 UTC GrantStock Option (right to buy) · Derivative 54,300 $0.00 Strike: $6.96 $0.00
Disclosure

SEC source: 0001214659-19-007496 · marketforms-46721.xml · derivative · entry 4

Nauman Clynton R. · CIK 0001561036 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,300

Underlying: Common Shares · 54,300 shares

Expires 2024-11-30

F2 · derivative.exercise_date: The options vest as follows: 1/3 on 12/1/2020; 1/3 on 12/1/2021; and 1/3 on 12/1/2022.

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December 01, 2019 Filed Dec 2, 2019 17:20 UTC GrantStock Option (right to buy) · Derivative 54,300 $0.00 Strike: $6.96 $0.00
Disclosure

SEC source: 0001214659-19-007493 · marketforms-46723.xml · derivative · entry 2

Levental Igor · CIK 0001561844 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,300

Underlying: Common Shares · 54,300 shares

Expires 2024-11-30

F2 · derivative.exercise_date: The options vest as follows: 1/3 on 12/1/2020; 1/3 on 12/1/2021; and 1/3 on 12/1/2022.

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December 01, 2019 Filed Dec 2, 2019 17:18 UTC
Schutt EthanDirector
GrantStock Option (right to buy) · Derivative 54,300 $0.00 Strike: $6.96 $0.00
Disclosure

SEC source: 0001214659-19-007489 · marketforms-46725.xml · derivative · entry 2

Schutt Ethan · CIK 0001777347 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,300

Underlying: Common Shares · 54,300 shares

Expires 2024-11-30

F2 · derivative.exercise_date: The options vest as follows: 1/3 on 12/1/2020; 1/3 on 12/1/2021; and 1/3 on 12/1/2022.

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December 01, 2019 Filed Dec 2, 2019 17:19 UTC GrantStock Option (right to buy) · Derivative 54,300 $0.00 Strike: $6.96 $0.00
Disclosure

SEC source: 0001214659-19-007491 · marketforms-46724.xml · derivative · entry 2

MADHAVPEDDI KALIDAS V · CIK 0001192042 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,300

Underlying: Common Shares · 54,300 shares

Expires 2024-11-30

F2 · derivative.exercise_date: The options vest as follows: 1/3 on 12/1/2020; 1/3 on 12/1/2021; and 1/3 on 12/1/2022.

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December 01, 2019 Filed Dec 2, 2019 17:16 UTC GrantStock Option (right to buy) · Derivative 56,200 $0.00 Strike: $6.95 $0.00
Disclosure

SEC source: 0001214659-19-007487 · marketforms-46727.xml · derivative · entry 2

Dowdall Sharon · CIK 0001593141 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,200

Underlying: Common Shares · 56,200 shares

Expires 2024-11-30

F2 · derivative.exercise_price: The exercise price reported above was converted from the Canadian exercise price of C$9.24 using an exchange rate of CAD$1.3289=USD$1.00.

F3 · derivative.exercise_date: The options vest as follows: 1/3 on 12/1/2020; 1/3 on 12/1/2021; and 1/3 on 12/1/2022.

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December 01, 2019 Filed Dec 2, 2019 17:15 UTC GrantStock Option (right to buy) · Derivative 56,200 $0.00 Strike: $6.95 $0.00
Disclosure

SEC source: 0001214659-19-007485 · marketforms-46728.xml · derivative · entry 2

Walsh Anthony P. · CIK 0001593111 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,200

Underlying: Common Shares · 56,200 shares

Expires 2024-11-30

F2 · derivative.exercise_price: The exercise price reported above was converted from the Canadian exercise price of C$9.24 using an exchange rate of CAD$1.3289=USD$1.00.

F3 · derivative.exercise_date: The options vest as follows: 1/3 on 12/1/2020; 1/3 on 12/1/2021; and 1/3 on 12/1/2022.

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December 01, 2019 Filed Dec 3, 2019 21:08 UTC GrantStock Option (right to buy) · Derivative 54,300 $0.00 Strike: $6.96 $0.00
Disclosure

SEC source: 0001493152-19-018680 · ownership.xml · derivative · entry 2

KAPLAN THOMAS SCOTT · CIK 0001124803 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,300

Underlying: Common Shares · 54,300 shares

Expires 2024-11-30

F2 · derivative.exercise_date: The options vest as follows: 1/3 on 12/1/2020; 1/3 on 12/1/2021; and 1/3 on 12/1/2022.

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December 01, 2019 Filed Dec 3, 2019 17:12 UTC
Lang Gregory A.Director · President and CEO
GrantPerformance Share Units ("PSUs") · Derivative 204,700 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001214659-19-007550 · marketforms-46729.xml · derivative · entry 5

Lang Gregory A. · CIK 0001562640 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,700

Underlying: Common Shares · 204,700 shares

Expires not disclosed

F3 · derivative.exercise_date: Represents a grant of Performance Share Units ("PSUs") made pursuant to the Issuer's 2009 Performance Share Unit Plan, as amended ("PSU Plan") which are subject to performance criteria set by the board of directors of the Issuer. The PSUs may convert into common shares of the Issuer or the cash value thereof anywhere between 0% and 150% of the PSU grant amount depending upon actual performance against the performance criteria. The anticipated vesting date is December 1, 2022. The common shares underlying vested PSUs or the cash value thereof, as determined by the Issuer, will be paid to the reporting person, net of applicable tax at the option of the Issuer, as soon as practicable following the vesting date. The reporting person shall not have any voting or dispositive rights with respect to the underlying common shares of the PSUs until the performance criteria has been met and, at the option of the Issuer, the underlying common shares have been issued to the reporting person.

F3 · derivative.expiration_date: Represents a grant of Performance Share Units ("PSUs") made pursuant to the Issuer's 2009 Performance Share Unit Plan, as amended ("PSU Plan") which are subject to performance criteria set by the board of directors of the Issuer. The PSUs may convert into common shares of the Issuer or the cash value thereof anywhere between 0% and 150% of the PSU grant amount depending upon actual performance against the performance criteria. The anticipated vesting date is December 1, 2022. The common shares underlying vested PSUs or the cash value thereof, as determined by the Issuer, will be paid to the reporting person, net of applicable tax at the option of the Issuer, as soon as practicable following the vesting date. The reporting person shall not have any voting or dispositive rights with respect to the underlying common shares of the PSUs until the performance criteria has been met and, at the option of the Issuer, the underlying common shares have been issued to the reporting person.

F3 · derivative.underlying_shares: Represents a grant of Performance Share Units ("PSUs") made pursuant to the Issuer's 2009 Performance Share Unit Plan, as amended ("PSU Plan") which are subject to performance criteria set by the board of directors of the Issuer. The PSUs may convert into common shares of the Issuer or the cash value thereof anywhere between 0% and 150% of the PSU grant amount depending upon actual performance against the performance criteria. The anticipated vesting date is December 1, 2022. The common shares underlying vested PSUs or the cash value thereof, as determined by the Issuer, will be paid to the reporting person, net of applicable tax at the option of the Issuer, as soon as practicable following the vesting date. The reporting person shall not have any voting or dispositive rights with respect to the underlying common shares of the PSUs until the performance criteria has been met and, at the option of the Issuer, the underlying common shares have been issued to the reporting person.

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December 01, 2019 Filed Dec 3, 2019 17:12 UTC
Lang Gregory A.Director · President and CEO
GrantStock Option (right to buy) · Derivative 546,000 $0.00 Strike: $6.96 $0.00
Disclosure

SEC source: 0001214659-19-007550 · marketforms-46729.xml · derivative · entry 4

Lang Gregory A. · CIK 0001562640 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 546,000

Underlying: Common Shares · 546,000 shares

Expires 2024-11-30

F2 · derivative.exercise_date: The options vest as follows: 1/3 on 12/1/2020; 1/3 on 12/1/2021; and 1/3 on 12/1/2022.

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December 01, 2019 Filed Dec 3, 2019 17:10 UTC
Ottewell David A.Vice President & CFO
GrantPerformance Share Units ("PSUs") · Derivative 72,700 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001214659-19-007549 · marketforms-46730.xml · derivative · entry 4

Ottewell David A. · CIK 0001515674 · Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,700

Underlying: Common Shares · 72,700 shares

Expires not disclosed

F3 · derivative.exercise_date: Represents a grant of Performance Share Units ("PSUs") made pursuant to the Issuer's 2009 Performance Share Unit Plan, as amended ("PSU Plan") which are subject to performance criteria set by the board of directors of the Issuer. The PSUs may convert into common shares of the Issuer or the cash value thereof anywhere between 0% and 150% of the PSU grant amount depending upon actual performance against the performance criteria. The anticipated vesting date is December 1, 2022. The common shares underlying vested PSUs or the cash value thereof, as determined by the Issuer, will be paid to the reporting person, net of applicable tax at the option of the Issuer, as soon as practicable following the vesting date. The reporting person shall not have any voting or dispositive rights with respect to the underlying common shares of the PSUs until the performance criteria has been met and, at the option of the Issuer, the underlying common shares have been issued to the reporting person.

F3 · derivative.expiration_date: Represents a grant of Performance Share Units ("PSUs") made pursuant to the Issuer's 2009 Performance Share Unit Plan, as amended ("PSU Plan") which are subject to performance criteria set by the board of directors of the Issuer. The PSUs may convert into common shares of the Issuer or the cash value thereof anywhere between 0% and 150% of the PSU grant amount depending upon actual performance against the performance criteria. The anticipated vesting date is December 1, 2022. The common shares underlying vested PSUs or the cash value thereof, as determined by the Issuer, will be paid to the reporting person, net of applicable tax at the option of the Issuer, as soon as practicable following the vesting date. The reporting person shall not have any voting or dispositive rights with respect to the underlying common shares of the PSUs until the performance criteria has been met and, at the option of the Issuer, the underlying common shares have been issued to the reporting person.

F3 · derivative.underlying_shares: Represents a grant of Performance Share Units ("PSUs") made pursuant to the Issuer's 2009 Performance Share Unit Plan, as amended ("PSU Plan") which are subject to performance criteria set by the board of directors of the Issuer. The PSUs may convert into common shares of the Issuer or the cash value thereof anywhere between 0% and 150% of the PSU grant amount depending upon actual performance against the performance criteria. The anticipated vesting date is December 1, 2022. The common shares underlying vested PSUs or the cash value thereof, as determined by the Issuer, will be paid to the reporting person, net of applicable tax at the option of the Issuer, as soon as practicable following the vesting date. The reporting person shall not have any voting or dispositive rights with respect to the underlying common shares of the PSUs until the performance criteria has been met and, at the option of the Issuer, the underlying common shares have been issued to the reporting person.

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December 01, 2019 Filed Dec 3, 2019 17:10 UTC
Ottewell David A.Vice President & CFO
GrantStock Option (right to buy) · Derivative 194,000 $0.00 Strike: $6.96 $0.00
Disclosure

SEC source: 0001214659-19-007549 · marketforms-46730.xml · derivative · entry 3

Ottewell David A. · CIK 0001515674 · Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 194,000

Underlying: Common Shares · 194,000 shares

Expires 2024-11-30

F2 · derivative.exercise_date: The options vest as follows: 1/3 on 12/1/2020; 1/3 on 12/1/2021; and 1/3 on 12/1/2022.

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November 25, 2019 Filed Nov 26, 2019 19:51 UTC Exercise / conversionStock Option (right to buy) · Derivative 96,400 $0.00 Strike: $2.39 $0.00
Disclosure

SEC source: 0001493152-19-018429 · ownership.xml · derivative · entry 3

KAPLAN THOMAS SCOTT · CIK 0001124803 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 96,400 shares

Expires 2019-11-30

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: The exercise price reported above was converted from the Canadian exercise price of $3.18 CAD.

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November 25, 2019 Filed Nov 26, 2019 19:51 UTC Tax withholdingCommon Shares 34,522 $6.67 $230,261.74
Disclosure

SEC source: 0001493152-19-018429 · ownership.xml · nonDerivative · entry 2

KAPLAN THOMAS SCOTT · CIK 0001124803 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,320

F2 · price: The exercise price reported above was converted from the Canadian exercise price of $8.88 CAD.

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November 25, 2019 Filed Nov 26, 2019 19:51 UTC Exercise / conversionCommon Shares 96,400 $2.39 $230,396.00
Disclosure

SEC source: 0001493152-19-018429 · ownership.xml · nonDerivative · entry 1

KAPLAN THOMAS SCOTT · CIK 0001124803 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,842

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: The exercise price reported above was converted from the Canadian exercise price of $3.18 CAD.

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November 22, 2019 Filed Nov 25, 2019 16:08 UTC
Lang Gregory A.Director · President and CEO
Exercise / conversionStock Option (Right to Buy) · Derivative 100,000 $0.00 Strike: $2.39 $0.00
Disclosure

SEC source: 0001214659-19-007382 · marketforms-46417.xml · derivative · entry 6

Lang Gregory A. · CIK 0001562640 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 100,000 shares

Expires 2019-11-30

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: The price reported above was converted from the Canadian exercise price of C$3.18 to USD using an exchange rate of CAD$1.3287=USD$1.00.

F5 · derivative.exercise_date: These options vested as follows: 1/3 on 12/1/2014; 1/3 on 12/1/2015; and 1/3 on 12/1/2016.

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November 22, 2019 Filed Nov 25, 2019 16:08 UTC
Lang Gregory A.Director · President and CEO
OtherCommon Shares 3,376 $0.00 $0.00
Disclosure

SEC source: 0001214659-19-007382 · marketforms-46417.xml · nonDerivative · entry 5

Lang Gregory A. · CIK 0001562640 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Trust

Disclosed balance after: 1,579,130

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November 22, 2019 Filed Nov 25, 2019 16:08 UTC
Lang Gregory A.Director · President and CEO
OtherCommon Shares 3,376 $0.00 $0.00
Disclosure

SEC source: 0001214659-19-007382 · marketforms-46417.xml · nonDerivative · entry 4

Lang Gregory A. · CIK 0001562640 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,744

F4 · kind: These shares were transferred to a trust for the benefit of the reporting person's family. The reporting person is the trustee, but is not a beneficiary of the family trust.

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November 22, 2019 Filed Nov 25, 2019 16:08 UTC
Lang Gregory A.Director · President and CEO
SaleCommon Shares 60,916 $6.67 $406,309.72
Disclosure

SEC source: 0001214659-19-007382 · marketforms-46417.xml · nonDerivative · entry 3

Lang Gregory A. · CIK 0001562640 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,120

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from C$8.86 to C$8.8943, inclusive. The reporting person undertakes to provide to NOVAGOLD RESOURCES INC., any security holder of NOVAGOLD RESOURCES INC., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The weighted average sales price reported above was converted from the Canadian weighted average sales price of C$8.87 using an exchange rate of CAD$1.3287=USD$1.00.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.