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
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 1 |
| Feb 2026 | 2 | 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 |
|---|---|---|---|---|---|---|
| December 03, 2018 Filed Dec 3, 2018 20:45 UTC |
Ottewell David A.Vice President & CFO
|
Exercise / conversionPerformance Share Units ("PSUs") · Derivative | 106,846 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001214659-18-007446 · marketforms-43368.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 · 106,846 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, 2016 grant totaling 130,300 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 3, 2018, the performance criteria were deemed to have been met with respect to the grant at 82% of the original grant amount, decreasing the award to a total of 106,846 common shares. F1 · derivative.exercise_date: The December 1, 2016 grant totaling 130,300 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 3, 2018, the performance criteria were deemed to have been met with respect to the grant at 82% of the original grant amount, decreasing the award to a total of 106,846 common shares. F1 · derivative.expiration_date: The December 1, 2016 grant totaling 130,300 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 3, 2018, the performance criteria were deemed to have been met with respect to the grant at 82% of the original grant amount, decreasing the award to a total of 106,846 common shares. F1 · derivative.underlying_shares: The December 1, 2016 grant totaling 130,300 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 3, 2018, the performance criteria were deemed to have been met with respect to the grant at 82% of the original grant amount, decreasing the award to a total of 106,846 common shares. Read SEC document |
| December 03, 2018 Filed Dec 3, 2018 20:45 UTC |
Ottewell David A.Vice President & CFO
|
Tax withholdingCommon Shares | 47,387 | $3.67 | $173,910.29 |
DisclosureSEC source: 0001214659-18-007446 · marketforms-43368.xml · nonDerivative · entry 2 Ottewell David A. · CIK 0001515674 · Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 556,675 Read SEC document |
| December 03, 2018 Filed Dec 3, 2018 20:45 UTC |
Ottewell David A.Vice President & CFO
|
Exercise / conversionCommon Shares | 106,846 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-18-007446 · marketforms-43368.xml · nonDerivative · entry 1 Ottewell David A. · CIK 0001515674 · Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 604,062 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, 2016 grant totaling 130,300 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 3, 2018, the performance criteria were deemed to have been met with respect to the grant at 82% of the original grant amount, decreasing the award to a total of 106,846 common shares. Read SEC document |
| December 03, 2018 Filed Dec 3, 2018 20:36 UTC |
Lang Gregory A.Director · President and CEO
|
Exercise / conversionPerformance Share Units ("PSUs") · Derivative | 318,488 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001214659-18-007444 · marketforms-43367.xml · derivative · entry 5 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 318,488 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, 2016 grant totaling 388,400 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 3, 2018, the performance criteria were deemed to have been met with respect to the grant at 82% of the original grant amount, decreasing the award to a total of 318,488 common shares. F1 · derivative.exercise_date: The December 1, 2016 grant totaling 388,400 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 3, 2018, the performance criteria were deemed to have been met with respect to the grant at 82% of the original grant amount, decreasing the award to a total of 318,488 common shares. F1 · derivative.expiration_date: The December 1, 2016 grant totaling 388,400 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 3, 2018, the performance criteria were deemed to have been met with respect to the grant at 82% of the original grant amount, decreasing the award to a total of 318,488 common shares. F1 · derivative.underlying_shares: The December 1, 2016 grant totaling 388,400 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 3, 2018, the performance criteria were deemed to have been met with respect to the grant at 82% of the original grant amount, decreasing the award to a total of 318,488 common shares. Read SEC document |
| December 03, 2018 Filed Dec 3, 2018 20:36 UTC |
Lang Gregory A.Director · President and CEO
|
Tax withholdingCommon Shares | 141,250 | $3.67 | $518,387.50 |
DisclosureSEC source: 0001214659-18-007444 · marketforms-43367.xml · nonDerivative · entry 2 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,538,022 Read SEC document |
| December 03, 2018 Filed Dec 3, 2018 20:36 UTC |
Lang Gregory A.Director · President and CEO
|
Exercise / conversionCommon Shares | 318,488 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-18-007444 · marketforms-43367.xml · nonDerivative · entry 1 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,679,272 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, 2016 grant totaling 388,400 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 3, 2018, the performance criteria were deemed to have been met with respect to the grant at 82% of the original grant amount, decreasing the award to a total of 318,488 common shares. Read SEC document |
| December 03, 2018 Filed Dec 3, 2018 20:21 UTC |
Deisley DavidExec. VP & General Counsel
|
Exercise / conversionPerformance Share Units ("PSUs") · Derivative | 134,480 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001214659-18-007443 · marketforms-43369.xml · derivative · entry 3 Deisley David · CIK 0001593138 · Exec. VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 134,480 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, 2016 grant totaling 164,000 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 3, 2018, the performance criteria were deemed to have been met with respect to the grant at 82% of the original grant amount, decreasing the award to a total of 134,480 common shares. F1 · derivative.exercise_date: The December 1, 2016 grant totaling 164,000 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 3, 2018, the performance criteria were deemed to have been met with respect to the grant at 82% of the original grant amount, decreasing the award to a total of 134,480 common shares. F1 · derivative.expiration_date: The December 1, 2016 grant totaling 164,000 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 3, 2018, the performance criteria were deemed to have been met with respect to the grant at 82% of the original grant amount, decreasing the award to a total of 134,480 common shares. F1 · derivative.underlying_shares: The December 1, 2016 grant totaling 164,000 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 3, 2018, the performance criteria were deemed to have been met with respect to the grant at 82% of the original grant amount, decreasing the award to a total of 134,480 common shares. Read SEC document |
| December 03, 2018 Filed Dec 3, 2018 20:21 UTC |
Deisley DavidExec. VP & General Counsel
|
Tax withholdingCommon Shares | 59,642 | $3.67 | $218,886.14 |
DisclosureSEC source: 0001214659-18-007443 · marketforms-43369.xml · nonDerivative · entry 2 Deisley David · CIK 0001593138 · Exec. VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 771,312 Read SEC document |
| December 03, 2018 Filed Dec 3, 2018 20:21 UTC |
Deisley DavidExec. VP & General Counsel
|
Exercise / conversionCommon Shares | 134,480 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-18-007443 · marketforms-43369.xml · nonDerivative · entry 1 Deisley David · CIK 0001593138 · Exec. VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 830,954 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, 2016 grant totaling 164,000 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 3, 2018, the performance criteria were deemed to have been met with respect to the grant at 82% of the original grant amount, decreasing the award to a total of 134,480 common shares. Read SEC document |
| December 03, 2018 Filed Dec 4, 2018 20:38 UTC |
KAPLAN THOMAS SCOTTDirector
|
GrantDeferred Share Unit · Derivative | 2,351.311 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-18-017016 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,745.65 Underlying: Common Shares · 2,351.311 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 03, 2018 Filed Dec 4, 2018 16:10 UTC |
GARRETT DIANE RDirector
|
PurchaseCommon Stock | 7,000 | $3.72 | $26,040.00 |
DisclosureSEC source: 0001214659-18-007472 · marketforms-43423.xml · nonDerivative · entry 1 GARRETT DIANE R · CIK 0001170429 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,718 Read SEC document |
| December 03, 2018 Filed Dec 4, 2018 16:06 UTC |
Lang Gregory A.Director · President and CEO
|
Exercise / conversionStock Option (right to buy) · Derivative | 200,000 | $0.00 Strike: $2.20 | $0.00 |
DisclosureSEC source: 0001214659-18-007471 · marketforms-43422.xml · derivative · entry 4 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,265,150 Underlying: Common Shares · 200,000 shares Expires 2019-01-06 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: The exercise price reported above was converted from the Canadian exercise price of C$2.90 using an exchange rate of CAD$1.3191=U.S.$1.00. F4 · derivative.exercise_date: The options vested as follows: 1/3 on 1/7/14; 1/3 on 1/7/15; and 1/3 on 1/7/16. Read SEC document |
| December 03, 2018 Filed Dec 4, 2018 16:06 UTC |
Lang Gregory A.Director · President and CEO
|
SaleCommon Shares | 61,087 | $3.73 | $227,854.51 |
DisclosureSEC source: 0001214659-18-007471 · marketforms-43422.xml · nonDerivative · entry 3 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,559,643 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from C$4.91 to $4.96, 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 price reported above was converted from the Canadian weighted average price of C$4.92 to USD using an exchange rate of CAD $1.3191=USD $1.00. Read SEC document |
| December 03, 2018 Filed Dec 4, 2018 16:06 UTC |
Lang Gregory A.Director · President and CEO
|
Tax withholdingCommon Shares | 117,292 | $3.75 | $439,845.00 |
DisclosureSEC source: 0001214659-18-007471 · marketforms-43422.xml · nonDerivative · entry 2 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,620,730 F2 · price: The price reported in Column 4 is a weighted average price. These shares were withheld in multiple transactions ranging from C$4.93 to $4.96 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 reported above was converted from the Canadian weighted average price of C$4.94 to USD using an exchange rate of CAD $1.3191=USD $1.00. Read SEC document |
| December 03, 2018 Filed Dec 4, 2018 16:06 UTC |
Lang Gregory A.Director · President and CEO
|
Exercise / conversionCommon Shares | 200,000 | $2.20 | $440,000.00 |
DisclosureSEC source: 0001214659-18-007471 · marketforms-43422.xml · nonDerivative · entry 1 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,738,022 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$2.90 using an exchange rate of CAD$1.3191=U.S.$1.00. Read SEC document |
| December 01, 2018 Filed Dec 3, 2018 22:10 UTC |
GARRETT DIANE RDirector
|
GrantStock Option (right to buy) · Derivative | 91,300 | $0.00 Strike: $3.67 | $0.00 |
DisclosureSEC source: 0001214659-18-007459 · marketforms-43373.xml · derivative · entry 2 GARRETT DIANE R · CIK 0001170429 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,300 Underlying: Common Shares · 91,300 shares Expires 2023-11-30 F2 · derivative.exercise_date: The options vest as follows: 1/3 on 12/1/2019; 1/3 on 12/1/2020; and 1/3 on 12/1/2021. Read SEC document |
| December 01, 2018 Filed Dec 3, 2018 22:09 UTC |
Van Nieuwenhuyse RickDirector
|
GrantStock Option (right to buy) · Derivative | 96,000 | $0.00 Strike: $3.68 | $0.00 |
DisclosureSEC source: 0001214659-18-007458 · marketforms-43371.xml · derivative · entry 4 Van Nieuwenhuyse Rick · CIK 0001561025 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,000 Underlying: Common Shares · 96,000 shares Expires 2023-11-30 F2 · derivative.exercise_price: The exercise price reported above was converted from the Canadian exercise price of $4.90 using an exchange rate of CAD$1.3301=U.S.$1.00. F3 · derivative.exercise_date: The options vest as follows: 1/3 on 12/1/2019; 1/3 on 12/1/2020; and 1/3 on 12/1/2021. Read SEC document |
| December 01, 2018 Filed Dec 3, 2018 22:07 UTC |
Nauman Clynton R.Director
|
GrantStock Option (right to buy) · Derivative | 91,300 | $0.00 Strike: $3.67 | $0.00 |
DisclosureSEC source: 0001214659-18-007457 · marketforms-43376.xml · derivative · entry 4 Nauman Clynton R. · CIK 0001561036 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,300 Underlying: Common Shares · 91,300 shares Expires 2023-11-30 F2 · derivative.exercise_date: The options vest as follows: 1/3 on 12/1/2019; 1/3 on 12/1/2020; and 1/3 on 12/1/2021. Read SEC document |
| December 01, 2018 Filed Dec 3, 2018 21:59 UTC |
Walsh Anthony P.Director
|
GrantStock Option (right to buy) · Derivative | 96,000 | $0.00 Strike: $3.68 | $0.00 |
DisclosureSEC source: 0001214659-18-007456 · marketforms-43372.xml · derivative · entry 2 Walsh Anthony P. · CIK 0001593111 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,000 Underlying: Common Shares · 96,000 shares Expires 2023-11-30 F2 · derivative.exercise_price: The exercise price reported above was converted from the Canadian exercise price of $4.90 using an exchange rate of CAD$1.3301=U.S.$1.00. F3 · derivative.exercise_date: The options vest as follows: 1/3 on 12/1/2019; 1/3 on 12/1/2020; and 1/3 on 12/1/2021. Read SEC document |
| December 01, 2018 Filed Dec 3, 2018 21:40 UTC |
MADHAVPEDDI KALIDAS VDirector
|
GrantStock Option (right to buy) · Derivative | 91,300 | $0.00 Strike: $3.67 | $0.00 |
DisclosureSEC source: 0001214659-18-007455 · marketforms-43375.xml · derivative · entry 2 MADHAVPEDDI KALIDAS V · CIK 0001192042 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,300 Underlying: Common Shares · 91,300 shares Expires 2023-11-30 F2 · derivative.exercise_date: The options vest as follows: 1/3 on 12/1/2019; 1/3 on 12/1/2020; and 1/3 on 12/1/2021. Read SEC document |
| December 01, 2018 Filed Dec 3, 2018 21:30 UTC |
Levental IgorDirector
|
GrantStock Option (right to buy) · Derivative | 91,300 | $0.00 Strike: $3.67 | $0.00 |
DisclosureSEC source: 0001214659-18-007454 · marketforms-43374.xml · derivative · entry 2 Levental Igor · CIK 0001561844 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,300 Underlying: Common Shares · 91,300 shares Expires 2023-11-30 F2 · derivative.exercise_date: The options vest as follows: 1/3 on 12/1/2019; 1/3 on 12/1/2020; and 1/3 on 12/1/2021. Read SEC document |
| December 01, 2018 Filed Dec 3, 2018 21:09 UTC |
Dowdall SharonDirector
|
GrantStock Option (right to buy) · Derivative | 96,000 | $0.00 Strike: $3.68 | $0.00 |
DisclosureSEC source: 0001214659-18-007447 · marketforms-43370.xml · derivative · entry 2 Dowdall Sharon · CIK 0001593141 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,000 Underlying: Common Shares · 96,000 shares Expires 2023-11-30 F2 · derivative.exercise_price: The exercise price reported above was converted from the Canadian exercise price of $4.90 using an exchange rate of CAD$1.3301=U.S.$1.00. F3 · derivative.exercise_date: The options vest as follows: 1/3 on 12/1/2019; 1/3 on 12/1/2020; and 1/3 on 12/1/2021. Read SEC document |
| December 01, 2018 Filed Dec 3, 2018 20:45 UTC |
Ottewell David A.Vice President & CFO
|
GrantPerformance Share Units ("PSUs") · Derivative | 134,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001214659-18-007446 · marketforms-43368.xml · derivative · entry 4 Ottewell David A. · CIK 0001515674 · Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,000 Underlying: Common Shares · 134,000 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, 2021. 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, 2021. 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, 2021. 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. Read SEC document |
| December 01, 2018 Filed Dec 3, 2018 20:45 UTC |
Ottewell David A.Vice President & CFO
|
GrantStock Option (right to buy) · Derivative | 334,600 | $0.00 Strike: $3.67 | $0.00 |
DisclosureSEC source: 0001214659-18-007446 · marketforms-43368.xml · derivative · entry 3 Ottewell David A. · CIK 0001515674 · Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 334,600 Underlying: Common Shares · 334,600 shares Expires 2023-11-30 F2 · derivative.exercise_date: The options vest as follows: 1/3 on 12/1/2019; 1/3 on 12/1/2020; and 1/3 on 12/1/2021. Read SEC document |
| December 01, 2018 Filed Dec 3, 2018 20:36 UTC |
Lang Gregory A.Director · President and CEO
|
GrantPerformance Share Units ("PSUs") · Derivative | 388,100 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001214659-18-007444 · marketforms-43367.xml · derivative · entry 4 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 922,800 Underlying: Common Shares · 388,100 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, 2021. 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, 2021. 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, 2021. 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. Read SEC document |
| December 01, 2018 Filed Dec 3, 2018 20:36 UTC |
Lang Gregory A.Director · President and CEO
|
GrantStock Option (right to buy) · Derivative | 969,000 | $0.00 Strike: $3.67 | $0.00 |
DisclosureSEC source: 0001214659-18-007444 · marketforms-43367.xml · derivative · entry 3 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 969,000 Underlying: Common Shares · 969,000 shares Expires 2023-11-30 F2 · derivative.exercise_date: The options vest as follows: 1/3 on 12/1/2019; 1/3 on 12/1/2020; and 1/3 on 12/1/2021. Read SEC document |
| December 01, 2018 Filed Dec 4, 2018 20:38 UTC |
KAPLAN THOMAS SCOTTDirector
|
GrantStock Option (right to buy) · Derivative | 91,300 | $0.00 Strike: $3.67 | $0.00 |
DisclosureSEC source: 0001493152-18-017016 · ownership.xml · derivative · entry 2 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 91,300 shares Expires 2023-11-30 F2 · deemedExecutionDate: The options vest as follows: 1/3 on 12/1/2019; 1/3 on 12/1/2020; and 1/3 on 12/1/2021. F2 · derivative.exercise_date: The options vest as follows: 1/3 on 12/1/2019; 1/3 on 12/1/2020; and 1/3 on 12/1/2021. Read SEC document |
| November 19, 2018 Filed Nov 20, 2018 16:05 UTC |
Lang Gregory A.Director · President and CEO
|
Exercise / conversionStock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $2.20 | $0.00 |
DisclosureSEC source: 0001214659-18-007242 · marketforms-43239.xml · derivative · entry 4 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,465,150 Underlying: Common Shares · 100,000 shares Expires 2019-01-06 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: The exercise price reported above was converted from the Canadian exercise price of C$2.90 using an exchange rate of CAD$1.3182=U.S.$1.00. F4 · derivative.exercise_date: The options vested as follows: 1/3 on 1/7/14; 1/3 on 1/7/15; and 1/3 on 1/7/16. Read SEC document |
| November 19, 2018 Filed Nov 20, 2018 16:05 UTC |
Lang Gregory A.Director · President and CEO
|
SaleCommon Shares | 20,444 | $3.86 | $78,913.84 |
DisclosureSEC source: 0001214659-18-007242 · marketforms-43239.xml · nonDerivative · entry 3 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,360,784 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from C$5.08 to $5.10, 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 price reported above was converted from the Canadian weighted average price of C$5.09 to USD using an exchange rate of CAD $1.3182=USD $1.00. Read SEC document |
| November 19, 2018 Filed Nov 20, 2018 16:05 UTC |
Lang Gregory A.Director · President and CEO
|
Tax withholdingCommon Shares | 56,975 | $3.86 | $219,923.50 |
DisclosureSEC source: 0001214659-18-007242 · marketforms-43239.xml · nonDerivative · entry 2 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,381,228 F2 · price: The price reported in Column 4 was converted from the Canadian price of C$5.09 to USD using an exchange rate of CAD $1.3182=USD $1.00. Read SEC document |
| November 19, 2018 Filed Nov 20, 2018 16:05 UTC |
Lang Gregory A.Director · President and CEO
|
Exercise / conversionCommon Shares | 100,000 | $2.20 | $220,000.00 |
DisclosureSEC source: 0001214659-18-007242 · marketforms-43239.xml · nonDerivative · entry 1 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,438,203 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$2.90 using an exchange rate of CAD$1.3182=U.S.$1.00. Read SEC document |
| November 09, 2018 Filed Nov 13, 2018 11:00 UTC |
Lang Gregory A.Director · President and CEO
|
Exercise / conversionStock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $2.20 | $0.00 |
DisclosureSEC source: 0001214659-18-007024 · marketforms-43186.xml · derivative · entry 4 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,565,150 Underlying: Common Shares · 100,000 shares Expires 2019-01-06 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: The exercise price reported above was converted from the Canadian exercise price of C$2.90 using an exchange rate of CAD$1.3206=U.S.$1.00. F4 · derivative.exercise_date: The options vested as follows: 1/3 on 1/7/14; 1/3 on 1/7/15; and 1/3 on 1/7/16. Read SEC document |
| November 09, 2018 Filed Nov 13, 2018 11:00 UTC |
Lang Gregory A.Director · President and CEO
|
SaleCommon Shares | 33,283 | $3.97 | $132,133.51 |
DisclosureSEC source: 0001214659-18-007024 · marketforms-43186.xml · nonDerivative · entry 3 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,338,203 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from C$5.20 to $5.282, 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 price reported above was converted from the Canadian weighted average price of C$5.24 to USD using an exchange rate of CAD $1.3206=USD $1.00. Read SEC document |
| November 09, 2018 Filed Nov 13, 2018 11:00 UTC |
Lang Gregory A.Director · President and CEO
|
Tax withholdingCommon Shares | 55,032 | $3.99 | $219,577.68 |
DisclosureSEC source: 0001214659-18-007024 · marketforms-43186.xml · nonDerivative · entry 2 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,371,486 F2 · price: The price reported in Column 4 is a weighted average price. These shares were withheld in multiple transactions ranging from C$5.23 to $5.31, 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 reported above was converted from the Canadian weighted average price of C$5.27 to USD using an exchange rate of CAD $1.3206=USD $1.00. Read SEC document |
| November 09, 2018 Filed Nov 13, 2018 11:00 UTC |
Lang Gregory A.Director · President and CEO
|
Exercise / conversionCommon Shares | 100,000 | $2.20 | $220,000.00 |
DisclosureSEC source: 0001214659-18-007024 · marketforms-43186.xml · nonDerivative · entry 1 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,426,518 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$2.90 using an exchange rate of CAD$1.3206=U.S.$1.00. Read SEC document |
| November 05, 2018 Filed Nov 6, 2018 18:22 UTC |
Lang Gregory A.Director · President and CEO
|
Exercise / conversionStock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $2.21 | $0.00 |
DisclosureSEC source: 0001214659-18-006912 · marketforms-43171.xml · derivative · entry 4 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,665,150 Underlying: Common Shares · 100,000 shares Expires 2019-01-06 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: The exercise price reported above was converted from the Canadian exercise price of C$2.90 using an exchange rate of CAD$1.3096=U.S.$1.00. F4 · derivative.exercise_date: The options vested as follows: 1/3 on 1/7/14; 1/3 on 1/7/15; and 1/3 on 1/7/16. Read SEC document |
| November 05, 2018 Filed Nov 6, 2018 18:22 UTC |
Lang Gregory A.Director · President and CEO
|
SaleCommon Shares | 34,254 | $4.15 | $142,154.10 |
DisclosureSEC source: 0001214659-18-006912 · marketforms-43171.xml · nonDerivative · entry 3 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,326,518 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from C$5.42 to $5.4419, 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 price reported above was converted from the Canadian weighted average price of C$5.43 to USD using an exchange rate of CAD $1.3096=USD $1.00. Read SEC document |
| November 05, 2018 Filed Nov 6, 2018 18:22 UTC |
Lang Gregory A.Director · President and CEO
|
Tax withholdingCommon Shares | 53,507 | $4.14 | $221,518.98 |
DisclosureSEC source: 0001214659-18-006912 · marketforms-43171.xml · nonDerivative · entry 2 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,360,772 F2 · price: The price reported in Column 4 is a weighted average price. These shares were withheld in multiple transactions ranging from C$5.41 to $5.43, 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 reported above was converted from the Canadian weighted average price of C$5.42 to USD using an exchange rate of CAD $1.3096=USD $1.00. Read SEC document |
| November 05, 2018 Filed Nov 6, 2018 18:22 UTC |
Lang Gregory A.Director · President and CEO
|
Exercise / conversionCommon Shares | 100,000 | $2.21 | $221,000.00 |
DisclosureSEC source: 0001214659-18-006912 · marketforms-43171.xml · nonDerivative · entry 1 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,414,279 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$2.90 using an exchange rate of CAD$1.3096=U.S.$1.00. Read SEC document |
| October 31, 2018 Filed Oct 31, 2018 23:27 UTC |
Lang Gregory A.Director · President and CEO
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $2.21 | $0.00 |
DisclosureSEC source: 0001214659-18-006747 · marketforms-43136.xml · derivative · entry 4 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,765,150 Underlying: Common Shares · 50,000 shares Expires 2019-01-06 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: The exercise price reported above was converted from the Canadian exercise price of C$2.90 using an exchange rate of CAD $1.3142=USD $1.00. F4 · derivative.exercise_date: The options vested as follows: 1/3 on 1/7/2014, 1/3 on 1/7/2015, and 1/3 on 1/7/2016. Read SEC document |
| October 31, 2018 Filed Oct 31, 2018 23:27 UTC |
Lang Gregory A.Director · President and CEO
|
SaleCommon Shares | 10,901 | $4.07 | $44,367.07 |
DisclosureSEC source: 0001214659-18-006747 · marketforms-43136.xml · nonDerivative · entry 3 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,314,279 F3 · price: The price reported in column 4 above was converted from the Canadian price of C$5.35 to USD using an exchange rate of CAD $1.3142=USD $1.00. Read SEC document |
| October 31, 2018 Filed Oct 31, 2018 23:27 UTC |
Lang Gregory A.Director · President and CEO
|
Tax withholdingCommon Shares | 27,053 | $4.08 | $110,376.24 |
DisclosureSEC source: 0001214659-18-006747 · marketforms-43136.xml · nonDerivative · entry 2 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,325,180 F2 · price: The price reported in column 4 above was converted from the Canadian price of C$5.36 to USD using an exchange rate of CAD $1.3142=USD $1.00. Read SEC document |
| October 31, 2018 Filed Oct 31, 2018 23:27 UTC |
Lang Gregory A.Director · President and CEO
|
Exercise / conversionCommon Shares | 50,000 | $2.21 | $110,500.00 |
DisclosureSEC source: 0001214659-18-006747 · marketforms-43136.xml · nonDerivative · entry 1 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,352,233 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$2.90 using an exchange rate of CAD $1.3142=USD $1.00. Read SEC document |
| October 30, 2018 Filed Oct 31, 2018 14:58 UTC |
Lang Gregory A.Director · President and CEO
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $2.21 | $0.00 |
DisclosureSEC source: 0001214659-18-006731 · marketforms-43121.xml · derivative · entry 4 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,815,150 Underlying: Common Shares · 50,000 shares Expires 2019-01-06 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: The exercise price reported above was converted from the Canadian exercise price of C$2.90 using an exchange rate of CAD $1.3133=USD $1.00. F4 · derivative.exercise_date: The options vested as follows: 1/3 on 1/7/2014, 1/3 on 1/7/2015, and 1/3 on 1/7/2016. Read SEC document |
| October 30, 2018 Filed Oct 31, 2018 14:58 UTC |
Lang Gregory A.Director · President and CEO
|
SaleCommon Shares | 11,836 | $4.18 | $49,474.48 |
DisclosureSEC source: 0001214659-18-006731 · marketforms-43121.xml · nonDerivative · entry 3 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,302,233 F3 · price: The price reported in column 4 above was converted from the Canadian price of C$5.49 to USD using an exchange rate of CAD $1.3133=USD $1.00. Read SEC document |
| October 30, 2018 Filed Oct 31, 2018 14:58 UTC |
Lang Gregory A.Director · President and CEO
|
Tax withholdingCommon Shares | 26,460 | $4.17 | $110,338.20 |
DisclosureSEC source: 0001214659-18-006731 · marketforms-43121.xml · nonDerivative · entry 2 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,314,069 F2 · price: The price reported in column 4 above was converted from the Canadian price of C$5.48 to USD using an exchange rate of CAD $1.3133=USD $1.00. Read SEC document |
| October 30, 2018 Filed Oct 31, 2018 14:58 UTC |
Lang Gregory A.Director · President and CEO
|
Exercise / conversionCommon Shares | 50,000 | $2.21 | $110,500.00 |
DisclosureSEC source: 0001214659-18-006731 · marketforms-43121.xml · nonDerivative · entry 1 Lang Gregory A. · CIK 0001562640 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,340,529 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$2.90 using an exchange rate of CAD $1.3133=USD $1.00. Read SEC document |
| October 23, 2018 Filed Oct 24, 2018 15:25 UTC |
Deisley DavidExec. VP & General Counsel
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 136,948 | $0.00 Strike: $2.21 | $0.00 |
DisclosureSEC source: 0001214659-18-006640 · marketforms-43086.xml · derivative · entry 4 Deisley David · CIK 0001593138 · Exec. VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400,000 Underlying: Common Shares · 136,948 shares Expires 2019-01-06 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: The exercise price reported above was converted from the Canadian exercise price of C$2.90 using an exchange rate of CAD $1.3098=USD $1.00. F3 · derivative.exercise_date: The options vested as follows: 1/3 on 1/7/2014; 1/3 on 1/7/2015; and 1/3 on 1/7/2016. Read SEC document |
| October 23, 2018 Filed Oct 24, 2018 15:25 UTC |
Deisley DavidExec. VP & General Counsel
|
SaleCommon Shares | 66,028 | $4.28 | $282,599.84 |
DisclosureSEC source: 0001214659-18-006640 · marketforms-43086.xml · nonDerivative · entry 3 Deisley David · CIK 0001593138 · Exec. VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 696,474 F2 · price: The price reported in Column 4 was converted from the Canadian price of C$5.60 to USD using an exchange rate of CAD $1.3098=USD $1.00. Read SEC document |
| October 23, 2018 Filed Oct 24, 2018 15:25 UTC |
Deisley DavidExec. VP & General Counsel
|
Tax withholdingCommon Shares | 70,920 | $4.28 | $303,537.60 |
DisclosureSEC source: 0001214659-18-006640 · marketforms-43086.xml · nonDerivative · entry 2 Deisley David · CIK 0001593138 · Exec. VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 762,502 F2 · price: The price reported in Column 4 was converted from the Canadian price of C$5.60 to USD using an exchange rate of CAD $1.3098=USD $1.00. 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.