Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NOVAGOLD RESOURCES INCNG · Entity 1348 | Director | September 01, 2026 | September 03, 2026 |
| Sunshine Silver Mining & Refining CoSSMR · Entity 4369 | Director · 10% owner | June 05, 2026 | June 08, 2026 |
| Trilogy Metals Inc.TMQ · Entity 5362 | 10% owner | December 26, 2025 | December 29, 2025 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
NOVAGOLD RESOURCES INC
Report date September 01, 2026 · Filed September 03, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Deferred Share UnitSEC Table II · derivative / convertible security | Direct | 120,419.338 |
Reported balance
After 2026-09-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-09-01 · Grant · Acquired 1,151.28 · Balance 120,419.338 F1: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
Sunshine Silver Mining & Refining Co
Report date June 05, 2026 · Filed June 08, 2026
Jointly reported with Electrum Silver US LLC, Electrum Strategic Management LLC, ELECTRUM GLOBAL HOLDINGS L.P., TEG Global GP Ltd., Electrum Group LLC, Electrum Silver US II LLC, Electrum Strategic Opportunities Fund II L.P., Electrum Strategic Opportunities Fund II GP L.P., ESOF II GP Ltd.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 8,929 |
Reported balance
After 2026-06-05 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-06-05 · Grant · Acquired 8,929 · Balance 8,929 F1: Represents restricted stock units ("RSUs") granted to Thomas S. Kaplan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs vest in full on the earlier of (i) the first anniversary of the grant date or (ii) the day immediately proceeding the date of the Issuer's 2027 Annual Meeting of Stockholders, subject to Mr. Kaplan's continued service as a member of the Issuer's Board of Directors through such date. |
| Common StockSEC Table I · non-derivative | IndirectBy Electrum Silver US LLC | 78,095,918 |
Last balance in matching sequence
After 2026-06-05 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2026-06-05 · Exercise / conversion · Acquired 2,739,640 · Balance 78,677,940 F2: This transaction relates to the net exercise of warrants to purchase 2,739,640 shares of the Issuer's common stock immediately prior to the completion of the initial public offering of the Issuer's common stock, in accordance with the terms of the warrants. F3: These securities are owned directly by Electrum Silver US LLC ("ESUS"). Electrum Strategic Management LLC ("ESM") is the manager of ESUS. ESM is wholly owned by Electrum Global Holdings L.P. ("Global Holdco"), and TEG Global GP Ltd. ("TEG Global") is the general partner of Global Holdco. The Electrum Group LLC ("TEG") acts as an investment advisor to Global Holdco. Thomas S. Kaplan, Chairman of the Issuer's Board of Directors, is also Chairman, Chief Executive Officer and Chief Investment Officer of TEG. Each of these reporting persons (other than Mr. Kaplan who is a director of the Issuer) may be deemed to be a director by deputization of the Issuer. Row 3 · 2026-06-05 · Tax withholding · Disposed 582,022 · Balance 78,095,918 F2: This transaction relates to the net exercise of warrants to purchase 2,739,640 shares of the Issuer's common stock immediately prior to the completion of the initial public offering of the Issuer's common stock, in accordance with the terms of the warrants. F3: These securities are owned directly by Electrum Silver US LLC ("ESUS"). Electrum Strategic Management LLC ("ESM") is the manager of ESUS. ESM is wholly owned by Electrum Global Holdings L.P. ("Global Holdco"), and TEG Global GP Ltd. ("TEG Global") is the general partner of Global Holdco. The Electrum Group LLC ("TEG") acts as an investment advisor to Global Holdco. Thomas S. Kaplan, Chairman of the Issuer's Board of Directors, is also Chairman, Chief Executive Officer and Chief Investment Officer of TEG. Each of these reporting persons (other than Mr. Kaplan who is a director of the Issuer) may be deemed to be a director by deputization of the Issuer. |
| Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.87 · Expires 2027-09-02 | IndirectBy Electrum Silver US LLC | 0 |
Reported balance
After 2026-06-05 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2026-06-05 · Exercise / conversion · Disposed 2,739,640 · Balance 0 F2: This transaction relates to the net exercise of warrants to purchase 2,739,640 shares of the Issuer's common stock immediately prior to the completion of the initial public offering of the Issuer's common stock, in accordance with the terms of the warrants. F3: These securities are owned directly by Electrum Silver US LLC ("ESUS"). Electrum Strategic Management LLC ("ESM") is the manager of ESUS. ESM is wholly owned by Electrum Global Holdings L.P. ("Global Holdco"), and TEG Global GP Ltd. ("TEG Global") is the general partner of Global Holdco. The Electrum Group LLC ("TEG") acts as an investment advisor to Global Holdco. Thomas S. Kaplan, Chairman of the Issuer's Board of Directors, is also Chairman, Chief Executive Officer and Chief Investment Officer of TEG. Each of these reporting persons (other than Mr. Kaplan who is a director of the Issuer) may be deemed to be a director by deputization of the Issuer. |
| Common StockSEC Table I · non-derivative | IndirectBy Electrum Silver US II LLC | 7,365,270 |
Reported balance
Holding disclosure · report date 2026-06-05 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 7,365,270 F4: These securities are owned directly by Electrum Silver US II LLC ("ESUS II"). Electrum Strategic Opportunities Fund II L.P. ("ESOF II") owns 99% of ESUS II, and ESM is the manager of ESUS II. ESM is wholly owned by Global Holdco, and TEG Global is the general partner of Global Holdco. The general partner of ESOF II is Electrum Strategic Opportunities Fund II GP L.P. ("ESOF II GP L.P."), and the general partner of ESOF II GP L.P. is ESOF II GP Ltd. ("ESOF II GP"). ESOF II GP is wholly owned by Global Holdco. TEG acts as an investment advisor to ESOF II. Thomas S. Kaplan, Chairman of the Issuer's Board of Directors, is also Chairman, Chief Executive Officer and Chief Investment Officer of TEG. Each of these reporting persons (other than Mr. Kaplan who is a director of the Issuer) may be deemed to be a director by deputization of the Issuer. |
| Common StockSEC Table I · non-derivative | IndirectBy Tigris Financial Group Ltd. | 1,266,260 |
Reported balance
Holding disclosure · report date 2026-06-05 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 1,266,260 F5: These securities are owned directly by Tigris Financial Group Ltd., which is wholly owned by Thomas S. Kaplan. |
| Common StockSEC Table I · non-derivative | IndirectBy Manul Capital Management LLC | 60,010 |
Reported balance
Holding disclosure · report date 2026-06-05 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 60,010 F6: These securities are owned directly by Manul Capital Management LLC. Thomas S. Kaplan serves as managing member of Manul Capital Management LLC. |
| Common StockSEC Table I · non-derivative | IndirectBy GRAT Holdings LLC | 393,230 |
Reported balance
Holding disclosure · report date 2026-06-05 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 393,230 F7: These securities are owned directly by GRAT Holdings LLC. Thomas S. Kaplan serves as managing member of GRAT Holdings LLC. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents restricted stock units ("RSUs") granted to Thomas S. Kaplan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs vest in full on the earlier of (i) the first anniversary of the grant date or (ii) the day immediately proceeding the date of the Issuer's 2027 Annual Meeting of Stockholders, subject to Mr. Kaplan's continued service as a member of the Issuer's Board of Directors through such date.
F2: This transaction relates to the net exercise of warrants to purchase 2,739,640 shares of the Issuer's common stock immediately prior to the completion of the initial public offering of the Issuer's common stock, in accordance with the terms of the warrants.
F3: These securities are owned directly by Electrum Silver US LLC ("ESUS"). Electrum Strategic Management LLC ("ESM") is the manager of ESUS. ESM is wholly owned by Electrum Global Holdings L.P. ("Global Holdco"), and TEG Global GP Ltd. ("TEG Global") is the general partner of Global Holdco. The Electrum Group LLC ("TEG") acts as an investment advisor to Global Holdco. Thomas S. Kaplan, Chairman of the Issuer's Board of Directors, is also Chairman, Chief Executive Officer and Chief Investment Officer of TEG. Each of these reporting persons (other than Mr. Kaplan who is a director of the Issuer) may be deemed to be a director by deputization of the Issuer.
F4: These securities are owned directly by Electrum Silver US II LLC ("ESUS II"). Electrum Strategic Opportunities Fund II L.P. ("ESOF II") owns 99% of ESUS II, and ESM is the manager of ESUS II. ESM is wholly owned by Global Holdco, and TEG Global is the general partner of Global Holdco. The general partner of ESOF II is Electrum Strategic Opportunities Fund II GP L.P. ("ESOF II GP L.P."), and the general partner of ESOF II GP L.P. is ESOF II GP Ltd. ("ESOF II GP"). ESOF II GP is wholly owned by Global Holdco. TEG acts as an investment advisor to ESOF II. Thomas S. Kaplan, Chairman of the Issuer's Board of Directors, is also Chairman, Chief Executive Officer and Chief Investment Officer of TEG. Each of these reporting persons (other than Mr. Kaplan who is a director of the Issuer) may be deemed to be a director by deputization of the Issuer.
F5: These securities are owned directly by Tigris Financial Group Ltd., which is wholly owned by Thomas S. Kaplan.
F6: These securities are owned directly by Manul Capital Management LLC. Thomas S. Kaplan serves as managing member of Manul Capital Management LLC.
F7: These securities are owned directly by GRAT Holdings LLC. Thomas S. Kaplan serves as managing member of GRAT Holdings LLC.
Trilogy Metals Inc.
Report date December 26, 2025 · Filed December 29, 2025
Jointly reported with Electrum Strategic Opportunities Fund L.P., Electrum Group LLC, ESOF GP Ltd., GRAT Holdings LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2025-12-26 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-12-26 · Gift · Disposed 540,406 · Balance 0 F1: Reflects shares that were donated to a charitable foundation for no consideration. F2: Includes 10,000 shares previously held through Tigris Financial Group Ltd., of which Mr. Kaplan is the sole shareholder, and 416,667 shares previously held by GRAT Holdings LLC, which is owned by trusts for the benefit of family members of Mr. Kapan. The shares were transferred to an account for the benefit of Mr. Kaplan in transactions exempt from reporting pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended. |
| Common SharesSEC Table I · non-derivative | IndirectBy spouse | 0 |
Reported balance
After 2025-12-26 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2025-12-26 · Gift · Disposed 416,666 · Balance 0 F1: Reflects shares that were donated to a charitable foundation for no consideration. F3: Includes 416,666 shares previously held by GRAT Holdings LLC, which is owned by trusts for the benefit of family members of Mr. Kaplan. The shares were transferred to an account for the benefit of Mr. Kaplan's spouse in transactions exempt from reporting pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended. F4: Represents shares owned directly by Mr. Kaplan's spouse. For purposes of Section 16 of the Securities Exchange Act of 1934, each reporting person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, and this report shall not be deemed an admission that such reporting person is the beneficial owner of such securities for the purposes of Section 16 or otherwise. |
| Common SharesSEC Table I · non-derivative | IndirectBy Electrum Strategic Opportunities Fund L.P. | 31,604,741 |
Reported balance
Holding disclosure · report date 2025-12-26 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 31,604,741 F5: Electrum Strategic Opportunities Fund L.P. ("ESOF") is an investment fund, of which The Electrum Group LLC is the investment adviser. ESOF GP Ltd. is the general partner of the sole general partner of ESOF. F6: In accordance with 4(b)(iv) of the Form 4 instructions, the entire amount of the Issuer's securities held by ESOF is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, each reporting person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, and this report shall not be deemed an admission that such reporting person is the beneficial owner of such securities for the purposes of Section 16 or otherwise. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects shares that were donated to a charitable foundation for no consideration.
F2: Includes 10,000 shares previously held through Tigris Financial Group Ltd., of which Mr. Kaplan is the sole shareholder, and 416,667 shares previously held by GRAT Holdings LLC, which is owned by trusts for the benefit of family members of Mr. Kapan. The shares were transferred to an account for the benefit of Mr. Kaplan in transactions exempt from reporting pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended.
F3: Includes 416,666 shares previously held by GRAT Holdings LLC, which is owned by trusts for the benefit of family members of Mr. Kaplan. The shares were transferred to an account for the benefit of Mr. Kaplan's spouse in transactions exempt from reporting pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended.
F4: Represents shares owned directly by Mr. Kaplan's spouse. For purposes of Section 16 of the Securities Exchange Act of 1934, each reporting person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, and this report shall not be deemed an admission that such reporting person is the beneficial owner of such securities for the purposes of Section 16 or otherwise.
F5: Electrum Strategic Opportunities Fund L.P. ("ESOF") is an investment fund, of which The Electrum Group LLC is the investment adviser. ESOF GP Ltd. is the general partner of the sole general partner of ESOF.
F6: In accordance with 4(b)(iv) of the Form 4 instructions, the entire amount of the Issuer's securities held by ESOF is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, each reporting person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, and this report shall not be deemed an admission that such reporting person is the beneficial owner of such securities for the purposes of Section 16 or otherwise.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 01, 2026 Filed Sep 3, 2026 15:10 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 1,151.28 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-26-041330 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 120,419.338 Underlying: Common Shares · 1,151.28 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 |
| June 05, 2026 Filed Jun 8, 2026 22:00 UTC | Sunshine Silver Mining & Refining Co SSMR · Entity 4369 | Exercise / conversionWarrant (right to buy) · Derivative | 2,739,640 | $0.00 Strike: $2.87 | $0.00 |
DisclosureSEC source: 0001193125-26-262202 · ownership.xml · derivative · entry 8 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director · 10% owner Electrum Silver US LLC · CIK 0001830153 · Director · 10% owner Electrum Strategic Management LLC · CIK 0001829059 · Director · 10% owner ELECTRUM GLOBAL HOLDINGS L.P. · CIK 0001564994 · Director · 10% owner TEG Global GP Ltd. · CIK 0001565709 · Director · 10% owner Electrum Group LLC · CIK 0001565641 · Director · 10% owner Electrum Silver US II LLC · CIK 0001829058 · Director · 10% owner Electrum Strategic Opportunities Fund II L.P. · CIK 0001699437 · Director · 10% owner Electrum Strategic Opportunities Fund II GP L.P. · CIK 0001734758 · Director · 10% owner ESOF II GP Ltd. · CIK 0001734759 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Electrum Silver US LLC Disclosed balance after: 0 Underlying: Common Stock · 2,739,640 shares Expires 2027-09-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: This transaction relates to the net exercise of warrants to purchase 2,739,640 shares of the Issuer's common stock immediately prior to the completion of the initial public offering of the Issuer's common stock, in accordance with the terms of the warrants. F3 · ownership.nature: These securities are owned directly by Electrum Silver US LLC ("ESUS"). Electrum Strategic Management LLC ("ESM") is the manager of ESUS. ESM is wholly owned by Electrum Global Holdings L.P. ("Global Holdco"), and TEG Global GP Ltd. ("TEG Global") is the general partner of Global Holdco. The Electrum Group LLC ("TEG") acts as an investment advisor to Global Holdco. Thomas S. Kaplan, Chairman of the Issuer's Board of Directors, is also Chairman, Chief Executive Officer and Chief Investment Officer of TEG. Each of these reporting persons (other than Mr. Kaplan who is a director of the Issuer) may be deemed to be a director by deputization of the Issuer. Read SEC document |
| June 05, 2026 Filed Jun 8, 2026 22:00 UTC | Sunshine Silver Mining & Refining Co SSMR · Entity 4369 | Tax withholdingCommon Stock | 582,022 | $13.50 | $7,857,297.00 |
DisclosureSEC source: 0001193125-26-262202 · ownership.xml · nonDerivative · entry 3 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director · 10% owner Electrum Silver US LLC · CIK 0001830153 · Director · 10% owner Electrum Strategic Management LLC · CIK 0001829059 · Director · 10% owner ELECTRUM GLOBAL HOLDINGS L.P. · CIK 0001564994 · Director · 10% owner TEG Global GP Ltd. · CIK 0001565709 · Director · 10% owner Electrum Group LLC · CIK 0001565641 · Director · 10% owner Electrum Silver US II LLC · CIK 0001829058 · Director · 10% owner Electrum Strategic Opportunities Fund II L.P. · CIK 0001699437 · Director · 10% owner Electrum Strategic Opportunities Fund II GP L.P. · CIK 0001734758 · Director · 10% owner ESOF II GP Ltd. · CIK 0001734759 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Electrum Silver US LLC Disclosed balance after: 78,095,918 F2 · kind: This transaction relates to the net exercise of warrants to purchase 2,739,640 shares of the Issuer's common stock immediately prior to the completion of the initial public offering of the Issuer's common stock, in accordance with the terms of the warrants. F3 · ownership.nature: These securities are owned directly by Electrum Silver US LLC ("ESUS"). Electrum Strategic Management LLC ("ESM") is the manager of ESUS. ESM is wholly owned by Electrum Global Holdings L.P. ("Global Holdco"), and TEG Global GP Ltd. ("TEG Global") is the general partner of Global Holdco. The Electrum Group LLC ("TEG") acts as an investment advisor to Global Holdco. Thomas S. Kaplan, Chairman of the Issuer's Board of Directors, is also Chairman, Chief Executive Officer and Chief Investment Officer of TEG. Each of these reporting persons (other than Mr. Kaplan who is a director of the Issuer) may be deemed to be a director by deputization of the Issuer. Read SEC document |
| June 05, 2026 Filed Jun 8, 2026 22:00 UTC | Sunshine Silver Mining & Refining Co SSMR · Entity 4369 | Exercise / conversionCommon Stock | 2,739,640 | $2.87 | $7,862,766.80 |
DisclosureSEC source: 0001193125-26-262202 · ownership.xml · nonDerivative · entry 2 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director · 10% owner Electrum Silver US LLC · CIK 0001830153 · Director · 10% owner Electrum Strategic Management LLC · CIK 0001829059 · Director · 10% owner ELECTRUM GLOBAL HOLDINGS L.P. · CIK 0001564994 · Director · 10% owner TEG Global GP Ltd. · CIK 0001565709 · Director · 10% owner Electrum Group LLC · CIK 0001565641 · Director · 10% owner Electrum Silver US II LLC · CIK 0001829058 · Director · 10% owner Electrum Strategic Opportunities Fund II L.P. · CIK 0001699437 · Director · 10% owner Electrum Strategic Opportunities Fund II GP L.P. · CIK 0001734758 · Director · 10% owner ESOF II GP Ltd. · CIK 0001734759 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Electrum Silver US LLC Disclosed balance after: 78,677,940 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: This transaction relates to the net exercise of warrants to purchase 2,739,640 shares of the Issuer's common stock immediately prior to the completion of the initial public offering of the Issuer's common stock, in accordance with the terms of the warrants. F3 · ownership.nature: These securities are owned directly by Electrum Silver US LLC ("ESUS"). Electrum Strategic Management LLC ("ESM") is the manager of ESUS. ESM is wholly owned by Electrum Global Holdings L.P. ("Global Holdco"), and TEG Global GP Ltd. ("TEG Global") is the general partner of Global Holdco. The Electrum Group LLC ("TEG") acts as an investment advisor to Global Holdco. Thomas S. Kaplan, Chairman of the Issuer's Board of Directors, is also Chairman, Chief Executive Officer and Chief Investment Officer of TEG. Each of these reporting persons (other than Mr. Kaplan who is a director of the Issuer) may be deemed to be a director by deputization of the Issuer. Read SEC document |
| June 05, 2026 Filed Jun 8, 2026 22:00 UTC | Sunshine Silver Mining & Refining Co SSMR · Entity 4369 | GrantCommon Stock | 8,929 | $0.00 | $0.00 |
DisclosureSEC source: 0001193125-26-262202 · ownership.xml · nonDerivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director · 10% owner Electrum Silver US LLC · CIK 0001830153 · Director · 10% owner Electrum Strategic Management LLC · CIK 0001829059 · Director · 10% owner ELECTRUM GLOBAL HOLDINGS L.P. · CIK 0001564994 · Director · 10% owner TEG Global GP Ltd. · CIK 0001565709 · Director · 10% owner Electrum Group LLC · CIK 0001565641 · Director · 10% owner Electrum Silver US II LLC · CIK 0001829058 · Director · 10% owner Electrum Strategic Opportunities Fund II L.P. · CIK 0001699437 · Director · 10% owner Electrum Strategic Opportunities Fund II GP L.P. · CIK 0001734758 · Director · 10% owner ESOF II GP Ltd. · CIK 0001734759 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,929 F1 · shares: Represents restricted stock units ("RSUs") granted to Thomas S. Kaplan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs vest in full on the earlier of (i) the first anniversary of the grant date or (ii) the day immediately proceeding the date of the Issuer's 2027 Annual Meeting of Stockholders, subject to Mr. Kaplan's continued service as a member of the Issuer's Board of Directors through such date. Read SEC document |
| June 01, 2026 Filed Jun 2, 2026 15:50 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 1,302.115 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-26-026815 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 119,268.058 Underlying: Common Shares · 1,302.115 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 |
| March 01, 2026 Filed Mar 3, 2026 18:09 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 864.514 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-26-008688 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 117,965.943 Underlying: Common Shares · 864.514 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 |
| February 02, 2026 Filed Feb 3, 2026 17:27 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantStock Option (right to buy) · Derivative | 36,600 | $0.00 Strike: $8.73 | $0.00 |
DisclosureSEC source: 0001493152-26-004865 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,600 Underlying: Common Shares · 36,600 shares Expires 2031-02-01 F1 · derivative.exercise_date: The options vest as follows: 1/3 on Feb. 02, 2027, 1/3 on Feb. 02, 2028, 1/3 on Feb. 02, 2029 Read SEC document |
| December 26, 2025 Filed Dec 29, 2025 21:15 UTC | Trilogy Metals Inc. TMQ · Entity 5362 | GiftCommon Shares | 416,666 | $0.00 | $0.00 |
DisclosureSEC source: 0001193125-25-335351 · ownership.xml · nonDerivative · entry 2 KAPLAN THOMAS SCOTT · CIK 0001124803 · 10% owner Electrum Strategic Opportunities Fund L.P. · CIK 0001637981 · 10% owner Electrum Group LLC · CIK 0001565641 · 10% owner ESOF GP Ltd. · CIK 0001663180 · 10% owner GRAT Holdings LLC · CIK 0001565707 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By spouse Disclosed balance after: 0 F1 · kind: Reflects shares that were donated to a charitable foundation for no consideration. F3 · shares: Includes 416,666 shares previously held by GRAT Holdings LLC, which is owned by trusts for the benefit of family members of Mr. Kaplan. The shares were transferred to an account for the benefit of Mr. Kaplan's spouse in transactions exempt from reporting pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended. F4 · ownership.direct: Represents shares owned directly by Mr. Kaplan's spouse. For purposes of Section 16 of the Securities Exchange Act of 1934, each reporting person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, and this report shall not be deemed an admission that such reporting person is the beneficial owner of such securities for the purposes of Section 16 or otherwise. Read SEC document |
| December 26, 2025 Filed Dec 29, 2025 21:15 UTC | Trilogy Metals Inc. TMQ · Entity 5362 | GiftCommon Shares | 540,406 | $0.00 | $0.00 |
DisclosureSEC source: 0001193125-25-335351 · ownership.xml · nonDerivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · 10% owner Electrum Strategic Opportunities Fund L.P. · CIK 0001637981 · 10% owner Electrum Group LLC · CIK 0001565641 · 10% owner ESOF GP Ltd. · CIK 0001663180 · 10% owner GRAT Holdings LLC · CIK 0001565707 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · kind: Reflects shares that were donated to a charitable foundation for no consideration. F2 · shares: Includes 10,000 shares previously held through Tigris Financial Group Ltd., of which Mr. Kaplan is the sole shareholder, and 416,667 shares previously held by GRAT Holdings LLC, which is owned by trusts for the benefit of family members of Mr. Kapan. The shares were transferred to an account for the benefit of Mr. Kaplan in transactions exempt from reporting pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 01, 2025 Filed Dec 2, 2025 13:05 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 1,185.924 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-25-025667 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 117,101.429 Underlying: Common Shares · 1,185.924 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 |
| September 01, 2025 Filed Sep 3, 2025 13:11 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 1,622.426 | $0.00 | $0.00 |
DisclosureSEC source: 0001641172-25-026323 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 115,915.505 Underlying: Common Shares · 1,622.426 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 |
| June 01, 2025 Filed Jun 3, 2025 18:29 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 2,996.331 | $0.00 | $0.00 |
DisclosureSEC source: 0001641172-25-013406 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 114,293.079 Underlying: Common Shares · 2,996.331 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 |
| May 09, 2025 Filed May 9, 2025 20:49 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | PurchaseCommon Shares | 13,333,334 | $3.75 | $50,000,002.50 |
DisclosureSEC source: 0000950170-25-068167 · ownership.xml · nonDerivative · entry 1 Electrum Strategic Resources L.P. · CIK 0001454795 · 10% owner Electrum Group LLC · CIK 0001565641 · 10% owner ELECTRUM GLOBAL HOLDINGS L.P. · CIK 0001564994 · 10% owner TEG Global GP Ltd. · CIK 0001565709 · 10% owner Leopard Holdings LLC · CIK 0001565706 · 10% owner GRAT Holdings LLC · CIK 0001565707 · 10% owner KAPLAN THOMAS SCOTT · CIK 0001124803 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 92,902,813 F1 · ownership.direct: Represents Common Shares of the Issuer owned directly by Electrum Strategic Resources L.P. ("Electrum Strategic"). Electrum Global Holdings LP. ("Global Holdings") is the owner of all of the limited partnership interests of Electrum Strategic. TEG Global GP Ltd. ("Global GP") is the sole general partner of, and The Electrum Group LLC ("TEG Services") is the investment adviser to, Global Holdings. TEG Services possesses voting and investment discretion with respect to assets of Global Holdings. Leopard Holdings LLC ("Leopard") controls Global Holdings through Global GP, and GRAT Holdings LLC is the owner and managing member of Leopard. GRAT Holdings LLC is owned by trusts for the benefit of the family of Thomas Scott Kaplan. F2 · ownership.direct: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each reporting person disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that such reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| April 29, 2025 Filed May 1, 2025 17:24 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantStock Option (right to buy) · Derivative | 80,600 | $0.00 Strike: $4.35 | $0.00 |
DisclosureSEC source: 0001641172-25-008038 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 80,600 Underlying: Common Shares · 80,600 shares Expires 2030-04-28 F1 · derivative.exercise_date: The options vest as follows: 1/3 on Apr. 29, 2026, 1/3 on Apr. 29, 2027, 1/3 on Apr. 29, 2028 Read SEC document |
| April 22, 2025 Filed Apr 23, 2025 20:15 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | OtherWarrants (right to buy) · Derivative | 6,375,000 | Not disclosed Strike: $3.00 | Not disclosed |
DisclosureSEC source: 0000950170-25-057383 · ownership.xml · derivative · entry 1 Electrum Strategic Resources L.P. · CIK 0001454795 · 10% owner Electrum Group LLC · CIK 0001565641 · 10% owner ELECTRUM GLOBAL HOLDINGS L.P. · CIK 0001564994 · 10% owner TEG Global GP Ltd. · CIK 0001565709 · 10% owner Leopard Holdings LLC · CIK 0001565706 · 10% owner GRAT Holdings LLC · CIK 0001565707 · 10% owner KAPLAN THOMAS SCOTT · CIK 0001124803 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,375,000 Underlying: Common Shares · 6,375,000 shares Expires 2030-04-22 F1 · kind: The warrants were acquired by Electrum Strategic Resources L.P. ("Electrum Strategic") as consideration for entering into the Backstop Agreement, dated April 22, 2025, with the Issuer and the Investors named therein, pursuant to which agreement Electrum Strategic committed to purchase up to $42.5 million of the Issuer's common shares at $3 per share to fund a portion of an acquisition by the Issuer if the Issuer does not obtain alternative financing for such acquisition. F1 · price: The warrants were acquired by Electrum Strategic Resources L.P. ("Electrum Strategic") as consideration for entering into the Backstop Agreement, dated April 22, 2025, with the Issuer and the Investors named therein, pursuant to which agreement Electrum Strategic committed to purchase up to $42.5 million of the Issuer's common shares at $3 per share to fund a portion of an acquisition by the Issuer if the Issuer does not obtain alternative financing for such acquisition. F2 · ownership.direct: Electrum Global Holdings LP. ("Global Holdings") is the owner of all of the limited partnership interests of Electrum Strategic. TEG Global GP Ltd. ("Global GP") is the sole general partner of, and The Electrum Group LLC ("TEG Services") is the investment adviser to, Global Holdings. TEG Services possesses voting and investment discretion with respect to assets of Global Holdings. Leopard Holdings LLC ("Leopard") controls Global Holdings through Global GP, and GRAT Holdings LLC is the owner and managing member of Leopard. F3 · ownership.direct: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each reporting person disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that such reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| March 01, 2025 Filed Mar 4, 2025 21:41 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 3,565.805 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-25-009060 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 111,296.748 Underlying: Common Shares · 3,565.805 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 01, 2024 Filed Dec 3, 2024 16:37 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 2,982.618 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-24-048450 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 107,730.943 Underlying: Common Shares · 2,982.618 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 |
| September 01, 2024 Filed Sep 3, 2024 22:25 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 2,512.391 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-24-034872 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 104,748.325 Underlying: Common Shares · 2,512.391 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 |
| June 01, 2024 Filed Jun 4, 2024 14:47 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 2,733.346 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-24-022496 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 102,235.934 Underlying: Common Shares · 2,733.346 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 |
| March 01, 2024 Filed Mar 4, 2024 18:55 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 4,450.417 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-24-008681 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 99,502.588 Underlying: Common Shares · 4,450.417 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 01, 2023 Filed Dec 4, 2023 22:15 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantStock Option (right to buy) · Derivative | 81,600 | $0.00 Strike: $4.20 | $0.00 |
DisclosureSEC source: 0001493152-23-043592 · ownership.xml · derivative · entry 2 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 81,600 Underlying: Common Shares · 81,600 shares Expires 2028-11-30 F2 · derivative.exercise_date: The options vest as follows: 1/3 on Dec. 1, 2024, 1/3 on Dec. 1, 2025, 1/3 on Dec. 1, 2026. Read SEC document |
| December 01, 2023 Filed Dec 4, 2023 22:15 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 2,599.919 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-23-043592 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 95,052.18 Underlying: Common Shares · 2,599.919 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 |
| November 29, 2023 Filed Nov 30, 2023 21:30 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | Exercise / conversionStock Option (right to buy) · Derivative | 91,300 | Not disclosed Strike: $3.67 | Not disclosed |
DisclosureSEC source: 0001493152-23-043227 · ownership.xml · derivative · entry 3 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 91,300 shares Expires 2023-11-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: See Column 2 of Table II Read SEC document |
| November 29, 2023 Filed Nov 30, 2023 21:30 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | Tax withholdingCommon Shares | 79,590 | $4.21 | $335,073.90 |
DisclosureSEC source: 0001493152-23-043227 · ownership.xml · nonDerivative · entry 2 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,710 Read SEC document |
| November 29, 2023 Filed Nov 30, 2023 21:30 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | Exercise / conversionCommon Shares | 91,300 | $3.67 | $335,071.00 |
DisclosureSEC source: 0001493152-23-043227 · ownership.xml · nonDerivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 91,300 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 01, 2023 Filed Sep 5, 2023 16:19 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 2,564.093 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-23-031603 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 92,452.261 Underlying: Common Shares · 2,564.093 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 |
| June 30, 2023 Filed Jul 3, 2023 21:00 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | OtherCommon Shares | 286,977 | $3.89 | $1,116,340.53 |
DisclosureSEC source: 0001493152-23-023318 · ownership.xml · nonDerivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · kind: The purpose of this Form 4 is to report (i) the transfer of 286,977 Common Shares (the "Shares") of the Issuer from Thomas S. Kaplan to GRAT Holdings LLC ("GRAT") (which is owned by trusts for the benefit of the Kaplan family) on June 30, 2023, for US $3.89 per Share, the closing price of the Shares on June 29, 2023. Thus, Mr. Kaplan's aggregate beneficial ownership of the Shares is unchanged as a result of this transaction. Read SEC document |
| June 01, 2023 Filed Jun 2, 2023 20:21 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 2,062.641 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-23-019971 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 89,888.168 Underlying: Common Shares · 2,062.641 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 |
| April 25, 2023 Filed Apr 26, 2023 20:45 UTC | Trilogy Metals Inc. TMQ · Entity 5362 | PurchaseCommon Shares | 2,181,818 | $0.55 | $1,199,999.90 |
DisclosureSEC source: 0001493152-23-013686 · ownership.xml · nonDerivative · entry 1 Electrum Strategic Opportunities Fund L.P. · CIK 0001637981 · 10% owner KAPLAN THOMAS SCOTT · CIK 0001124803 · 10% owner Electrum Group LLC · CIK 0001565641 · 10% owner ESOF GP Ltd. · CIK 0001663180 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Electrum Strategic Opportunities Fund L.P. Disclosed balance after: 31,604,741 F1 · kind: On April 25, 2023, Electrum Strategic Opportunities Fund L.P. ("ESOF") acquired 2,181,818 of the Issuer's Common Shares for an aggregate purchase price of $1,199,999.90 or $0.55 per Common Share. F2 · ownership.direct: ESOF is an investment fund, of which The Electrum Group LLC is the investment adviser. ESOF GP Ltd. is the general partner of the sole general partner of ESOF. F3 · ownership.direct: In accordance with 4(b)(iv) of the Form 4 instructions, the entire amount of the Issuer's securities held by ESOF is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, each reporting person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if an, and this report shall not be deemed an admission that such reporting person is the beneficial owner of such securities for the purposes of Section 16 or otherwise. F2 · ownership.nature: ESOF is an investment fund, of which The Electrum Group LLC is the investment adviser. ESOF GP Ltd. is the general partner of the sole general partner of ESOF. F3 · ownership.nature: In accordance with 4(b)(iv) of the Form 4 instructions, the entire amount of the Issuer's securities held by ESOF is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, each reporting person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if an, and this report shall not be deemed an admission that such reporting person is the beneficial owner of such securities for the purposes of Section 16 or otherwise. Read SEC document |
| March 01, 2023 Filed Mar 2, 2023 21:32 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 1,919.547 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-23-006581 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,825.527 Underlying: Common Shares · 1,919.547 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 01, 2022 Filed Dec 2, 2022 21:27 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantStock Option (right to buy) · Derivative | 59,300 | $0.00 Strike: $5.77 | $0.00 |
DisclosureSEC source: 0001493152-22-034302 · ownership.xml · derivative · entry 2 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,300 Underlying: Common Shares · 59,300 shares Expires 2027-11-30 F2 · derivative.exercise_date: The options vest as follows: 1/3 on Dec. 1, 2023, 1/3 on Dec. 1, 2024, 1/3 on Dec. 1, 2025 Read SEC document |
| December 01, 2022 Filed Dec 2, 2022 21:27 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 1,899.762 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-22-034302 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,905.98 Underlying: Common Shares · 1,899.762 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 |
| November 28, 2022 Filed Nov 30, 2022 20:18 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | Exercise / conversionStock Option (right to buy) · Derivative | 100,100 | Not disclosed Strike: $3.85 | Not disclosed |
DisclosureSEC source: 0001493152-22-034010 · ownership.xml · derivative · entry 3 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 100,100 shares Expires 2022-11-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: See Column 2 of Table II Read SEC document |
| November 28, 2022 Filed Nov 30, 2022 20:18 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | Tax withholdingCommon Shares | 32,190 | $5.68 | $182,678.25 |
DisclosureSEC source: 0001493152-22-034010 · ownership.xml · nonDerivative · entry 2 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 322,697 Read SEC document |
| November 28, 2022 Filed Nov 30, 2022 20:18 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | Exercise / conversionCommon Shares | 100,100 | $3.85 | $385,385.00 |
DisclosureSEC source: 0001493152-22-034010 · ownership.xml · nonDerivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 354,887 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 28, 2022 Filed Dec 15, 2022 22:20 UTC Amendment | NOVAGOLD RESOURCES INC NG · Entity 1348 | Tax withholdingCommon Shares | 67,910 | $5.68 | $385,389.25 |
DisclosureSEC source: 0001493152-22-035617 · ownership.xml · nonDerivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 286,977 Read SEC document |
| September 01, 2022 Filed Sep 2, 2022 13:26 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 2,230.006 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-22-024894 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,006.218 Underlying: Common Shares · 2,230.006 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 |
| June 01, 2022 Filed Jun 2, 2022 20:03 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 1,887.301 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-22-015716 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,776.212 Underlying: Common Shares · 1,887.301 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 |
| March 01, 2022 Filed Mar 1, 2022 21:30 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 1,530.231 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-22-005744 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,888.911 Underlying: Common Shares · 1,530.231 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 01, 2021 Filed Dec 3, 2021 13:59 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantStock Option (right to buy) · Derivative | 54,700 | $0.00 Strike: $6.75 | $0.00 |
DisclosureSEC source: 0001493152-21-030371 · ownership.xml · derivative · entry 2 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,700 Underlying: Common Shares · 54,700 shares Expires 2026-11-30 F2 · derivative.exercise_date: The options vest as follows: 1/3 on Dec. 1, 2022, 1/3 on Dec. 1, 2023, 1/3 on Dec. 1, 2024. Read SEC document |
| December 01, 2021 Filed Dec 3, 2021 13:59 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 1,533.846 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-21-030371 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,358.68 Underlying: Common Shares · 1,533.846 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 |
| November 19, 2021 Filed Nov 23, 2021 16:29 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | Exercise / conversionStock Option (right to buy) · Derivative | 88,400 | Not disclosed Strike: $4.58 | Not disclosed |
DisclosureSEC source: 0001493152-21-029659 · ownership.xml · derivative · entry 3 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 88,400 shares Expires 2021-11-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: See Column 2 of Table II Read SEC document |
| November 19, 2021 Filed Nov 23, 2021 16:29 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | Tax withholdingCommon Shares | 52,108 | $7.77 | $404,879.16 |
DisclosureSEC source: 0001493152-21-029659 · ownership.xml · nonDerivative · entry 2 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 254,787 Read SEC document |
| November 19, 2021 Filed Nov 23, 2021 16:29 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | Exercise / conversionCommon Shares | 88,400 | $4.58 | $404,872.00 |
DisclosureSEC source: 0001493152-21-029659 · ownership.xml · nonDerivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 306,895 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 01, 2021 Filed Sep 1, 2021 22:19 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 1,501.64 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-21-021811 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,824.829 Underlying: Common Shares · 1,501.64 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 |
| June 01, 2021 Filed Jun 2, 2021 18:30 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 1,050.255 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-21-013414 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,323.189 Underlying: Common Shares · 1,050.255 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 |
| March 01, 2021 Filed Mar 1, 2021 22:42 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 1,186.104 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-21-005135 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,272.934 Underlying: Common Shares · 1,186.104 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 01, 2020 Filed Dec 2, 2020 17:05 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantStock Option (right to buy) · Derivative | 35,200 | $0.00 Strike: $9.96 | $0.00 |
DisclosureSEC source: 0001493152-20-022809 · ownership.xml · derivative · entry 2 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,200 Underlying: Common Shares · 35,200 shares Expires 2025-11-30 F2 · derivative.exercise_date: The options vest as follows: 1/3 on Dec. 1, 2021, 1/3 on Dec. 1, 2022, 1/3 on Dec. 1, 2023. Read SEC document |
| December 01, 2020 Filed Dec 2, 2020 17:05 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 1,070.697 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-022809 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,086.83 Underlying: Common Shares · 1,070.697 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.