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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.
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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
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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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 GrantDeferred Share Unit · Derivative 2,351.311 $0.00 $0.00
Disclosure

SEC 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 PurchaseCommon Stock 7,000 $3.72 $26,040.00
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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 GrantStock Option (right to buy) · Derivative 91,300 $0.00 Strike: $3.67 $0.00
Disclosure

SEC 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 GrantStock Option (right to buy) · Derivative 96,000 $0.00 Strike: $3.68 $0.00
Disclosure

SEC 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 GrantStock Option (right to buy) · Derivative 91,300 $0.00 Strike: $3.67 $0.00
Disclosure

SEC 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 GrantStock Option (right to buy) · Derivative 96,000 $0.00 Strike: $3.68 $0.00
Disclosure

SEC 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 GrantStock Option (right to buy) · Derivative 91,300 $0.00 Strike: $3.67 $0.00
Disclosure

SEC 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 GrantStock Option (right to buy) · Derivative 91,300 $0.00 Strike: $3.67 $0.00
Disclosure

SEC 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 GrantStock Option (right to buy) · Derivative 96,000 $0.00 Strike: $3.68 $0.00
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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 GrantStock Option (right to buy) · Derivative 91,300 $0.00 Strike: $3.67 $0.00
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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.