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 |
|---|---|---|---|---|---|---|
| November 25, 2020 Filed Nov 30, 2020 20:52 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | Exercise / conversionStock Option (right to buy) · Derivative | 109,700 | Not disclosed Strike: $3.86 | Not disclosed |
DisclosureSEC source: 0001493152-20-022694 · 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 · 109,700 shares Expires 2020-11-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The exercise price reported above was converted from the Canadian exercise price of $5.02 CAD. F3 · price: See Column 2 of Table II. Read SEC document |
| November 25, 2020 Filed Nov 30, 2020 20:52 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | Tax withholdingCommon Shares | 42,525 | $9.96 | $423,549.00 |
DisclosureSEC source: 0001493152-20-022694 · ownership.xml · nonDerivative · entry 2 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 218,495 F2 · price: The price reported above was converted from the Canadian exercise price of $12.95 CAD. Read SEC document |
| November 25, 2020 Filed Nov 30, 2020 20:52 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | Exercise / conversionCommon Shares | 109,700 | $3.86 | $423,442.00 |
DisclosureSEC source: 0001493152-20-022694 · ownership.xml · nonDerivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 261,020 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The exercise price reported above was converted from the Canadian exercise price of $5.02 CAD. Read SEC document |
| September 01, 2020 Filed Sep 1, 2020 20:20 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 1,074.81 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-017087 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,016.22 Underlying: Common Shares · 1,074.81 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, 2020 Filed Jun 2, 2020 17:55 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 1,070.13 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-010374 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,941.41 Underlying: Common Shares · 1,070.13 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 02, 2020 Filed Mar 2, 2020 19:55 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 1,218.1 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-003204 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,871.28 Underlying: Common Shares · 1,218.1 shares Expires not disclosed F1 · derivative.exercise_price: Each Deferred Share Unit ("DSU") is the economic equivalent of one of the Issuer's common shares. The DSUs vested immediately upon issuance; however, the underlying common shares will not be issued to the reporting person, and the reporting person shall not have any voting or dispositive rights with respect to the underlying common shares, until termination of the reporting person's employment or services as a director of the Issuer. The grants will expire no later than 90 days after the reporting person's termination date. F1 · deemedExecutionDate: Each Deferred Share Unit ("DSU") is the economic equivalent of one of the Issuer's common shares. The DSUs vested immediately upon issuance; however, the underlying common shares will not be issued to the reporting person, and the reporting person shall not have any voting or dispositive rights with respect to the underlying common shares, until termination of the reporting person's employment or services as a director of the Issuer. The grants will expire no later than 90 days after the reporting person's termination date. F1 · derivative.exercise_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one of the Issuer's common shares. The DSUs vested immediately upon issuance; however, the underlying common shares will not be issued to the reporting person, and the reporting person shall not have any voting or dispositive rights with respect to the underlying common shares, until termination of the reporting person's employment or services as a director of the Issuer. The grants will expire no later than 90 days after the reporting person's termination date. F1 · derivative.expiration_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one of the Issuer's common shares. The DSUs vested immediately upon issuance; however, the underlying common shares will not be issued to the reporting person, and the reporting person shall not have any voting or dispositive rights with respect to the underlying common shares, until termination of the reporting person's employment or services as a director of the Issuer. The grants will expire no later than 90 days after the reporting person's termination date. Read SEC document |
| December 02, 2019 Filed Dec 3, 2019 21:08 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 1,294.72 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-19-018680 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,653.18 Underlying: Common Shares · 1,294.72 shares Expires not disclosed F1 · derivative.exercise_price: Each Deferred Share Unit ("DSU") is the economic equivalent of one of the Issuer's common shares. The DSUs vested immediately upon issuance; however, the underlying common shares will not be issued to the reporting person, and the reporting person shall not have any voting or dispositive rights with respect to the underlying common shares, until termination of the reporting person's employment or services as a director of the Issuer. The grants will expire no later than 90 days after the reporting person's termination date. F1 · deemedExecutionDate: Each Deferred Share Unit ("DSU") is the economic equivalent of one of the Issuer's common shares. The DSUs vested immediately upon issuance; however, the underlying common shares will not be issued to the reporting person, and the reporting person shall not have any voting or dispositive rights with respect to the underlying common shares, until termination of the reporting person's employment or services as a director of the Issuer. The grants will expire no later than 90 days after the reporting person's termination date. F1 · derivative.exercise_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one of the Issuer's common shares. The DSUs vested immediately upon issuance; however, the underlying common shares will not be issued to the reporting person, and the reporting person shall not have any voting or dispositive rights with respect to the underlying common shares, until termination of the reporting person's employment or services as a director of the Issuer. The grants will expire no later than 90 days after the reporting person's termination date. F1 · derivative.expiration_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one of the Issuer's common shares. The DSUs vested immediately upon issuance; however, the underlying common shares will not be issued to the reporting person, and the reporting person shall not have any voting or dispositive rights with respect to the underlying common shares, until termination of the reporting person's employment or services as a director of the Issuer. The grants will expire no later than 90 days after the reporting person's termination date. Read SEC document |
| December 01, 2019 Filed Dec 3, 2019 21:08 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantStock Option (right to buy) · Derivative | 54,300 | $0.00 Strike: $6.96 | $0.00 |
DisclosureSEC source: 0001493152-19-018680 · ownership.xml · derivative · entry 2 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,300 Underlying: Common Shares · 54,300 shares Expires 2024-11-30 F2 · derivative.exercise_date: The options vest as follows: 1/3 on 12/1/2020; 1/3 on 12/1/2021; and 1/3 on 12/1/2022. Read SEC document |
| November 25, 2019 Filed Nov 26, 2019 19:51 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | Exercise / conversionStock Option (right to buy) · Derivative | 96,400 | $0.00 Strike: $2.39 | $0.00 |
DisclosureSEC source: 0001493152-19-018429 · ownership.xml · derivative · entry 3 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 96,400 shares Expires 2019-11-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The exercise price reported above was converted from the Canadian exercise price of $3.18 CAD. Read SEC document |
| November 25, 2019 Filed Nov 26, 2019 19:51 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | Tax withholdingCommon Shares | 34,522 | $6.67 | $230,261.74 |
DisclosureSEC source: 0001493152-19-018429 · ownership.xml · nonDerivative · entry 2 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,320 F2 · price: The exercise price reported above was converted from the Canadian exercise price of $8.88 CAD. Read SEC document |
| November 25, 2019 Filed Nov 26, 2019 19:51 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | Exercise / conversionCommon Shares | 96,400 | $2.39 | $230,396.00 |
DisclosureSEC source: 0001493152-19-018429 · ownership.xml · nonDerivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 185,842 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The exercise price reported above was converted from the Canadian exercise price of $3.18 CAD. Read SEC document |
| September 03, 2019 Filed Sep 4, 2019 17:14 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 1,146.73 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-19-013664 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,358.46 Underlying: Common Shares · 1,146.73 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 26, 2019 Filed Jun 27, 2019 22:52 UTC | Trilogy Metals Inc. TMQ · Entity 5362 | OtherWarrants (right to buy) · Derivative | 2,760,870 | $0.00 Strike: $1.52 | $0.00 |
DisclosureSEC source: 0001493152-19-009827 · ownership.xml · derivative · entry 2 Electrum Strategic Opportunities Fund L.P. · CIK 0001637981 · Possible member of 10% group KAPLAN THOMAS SCOTT · CIK 0001124803 · Possible member of 10% group Electrum Group LLC · CIK 0001565641 · Possible member of 10% group ESOF GP Ltd. · CIK 0001663180 · Possible member of 10% group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Electrum Strategic Opportunities Fund L.P. Disclosed balance after: 0 Underlying: Common Shares · 2,760,870 shares Expires 2019-07-02 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) to Form 4, 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 |
| June 26, 2019 Filed Jun 27, 2019 22:52 UTC | Trilogy Metals Inc. TMQ · Entity 5362 | OtherCommon Shares | 2,760,870 | $1.52 | $4,196,522.40 |
DisclosureSEC source: 0001493152-19-009827 · ownership.xml · nonDerivative · entry 1 Electrum Strategic Opportunities Fund L.P. · CIK 0001637981 · Possible member of 10% group KAPLAN THOMAS SCOTT · CIK 0001124803 · Possible member of 10% group Electrum Group LLC · CIK 0001565641 · Possible member of 10% group ESOF GP Ltd. · CIK 0001663180 · Possible member of 10% group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Electrum Strategic Opportunities Fund L.P. Disclosed balance after: 29,422,923 F1 · kind: On June 26, 2019, Electrum Strategic Opportunities Fund L.P. ("ESOF") acquired 2,760,870 of the Issuer's Common Shares for an aggregate purchase price of $4,196,522, or $1.52 per Common Share. 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) to Form 4, 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 |
| June 03, 2019 Filed Jun 3, 2019 19:20 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 2,241.74 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-19-008548 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,211.74 Underlying: Common Shares · 2,241.74 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, 2019 Filed Mar 4, 2019 21:29 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 2,224.35 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-19-002817 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,970 Underlying: Common Shares · 2,224.35 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 |
| January 03, 2019 Filed Jan 7, 2019 18:28 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | Exercise / conversionStock Option (right to buy) · Derivative | 159,050 | $0.00 Strike: $1.85 | $0.00 |
DisclosureSEC source: 0001493152-19-000225 · 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 · 159,050 shares Expires 2019-01-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The exercise price reported above was converted from the Canadian exercise price of $2.50 CAD. Read SEC document |
| January 03, 2019 Filed Jan 7, 2019 18:28 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | Tax withholdingCommon Shares | 85,734 | $3.96 | $339,506.64 |
DisclosureSEC source: 0001493152-19-000225 · ownership.xml · nonDerivative · entry 2 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,442 F2 · price: The exercise price reported above was converted from the Canadian exercise price of $5.38 CAD. F3 · price: The reported price reflects the last sale price per Common Share on January 3, 2019. Read SEC document |
| January 03, 2019 Filed Jan 7, 2019 18:28 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | Exercise / conversionCommon Shares | 159,050 | $1.85 | $294,242.50 |
DisclosureSEC source: 0001493152-19-000225 · ownership.xml · nonDerivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,176 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The exercise price reported above was converted from the Canadian exercise price of $2.50 CAD. Read SEC document |
| December 03, 2018 Filed Dec 4, 2018 20:38 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 2,351.311 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-18-017016 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,745.65 Underlying: Common Shares · 2,351.311 shares Expires not disclosed F1 · derivative.exercise_price: Each Deferred Share Unit ("DSU") is the economic equivalent of one of the Issuer's common shares. The DSUs vested immediately upon issuance; however, the underlying common shares will not be issued to the reporting person, and the reporting person shall not have any voting or dispositive rights with respect to the underlying common shares, until termination of the reporting person's employment or services as a director of the Issuer. The grants will expire no later than 90 days after the reporting person's termination date. F1 · deemedExecutionDate: Each Deferred Share Unit ("DSU") is the economic equivalent of one of the Issuer's common shares. The DSUs vested immediately upon issuance; however, the underlying common shares will not be issued to the reporting person, and the reporting person shall not have any voting or dispositive rights with respect to the underlying common shares, until termination of the reporting person's employment or services as a director of the Issuer. The grants will expire no later than 90 days after the reporting person's termination date. F1 · derivative.exercise_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one of the Issuer's common shares. The DSUs vested immediately upon issuance; however, the underlying common shares will not be issued to the reporting person, and the reporting person shall not have any voting or dispositive rights with respect to the underlying common shares, until termination of the reporting person's employment or services as a director of the Issuer. The grants will expire no later than 90 days after the reporting person's termination date. F1 · derivative.expiration_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one of the Issuer's common shares. The DSUs vested immediately upon issuance; however, the underlying common shares will not be issued to the reporting person, and the reporting person shall not have any voting or dispositive rights with respect to the underlying common shares, until termination of the reporting person's employment or services as a director of the Issuer. The grants will expire no later than 90 days after the reporting person's termination date. Read SEC document |
| December 01, 2018 Filed Dec 4, 2018 20:38 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantStock Option (right to buy) · Derivative | 91,300 | $0.00 Strike: $3.67 | $0.00 |
DisclosureSEC source: 0001493152-18-017016 · ownership.xml · derivative · entry 2 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 91,300 shares Expires 2023-11-30 F2 · deemedExecutionDate: The options vest as follows: 1/3 on 12/1/2019; 1/3 on 12/1/2020; and 1/3 on 12/1/2021. F2 · derivative.exercise_date: The options vest as follows: 1/3 on 12/1/2019; 1/3 on 12/1/2020; and 1/3 on 12/1/2021. Read SEC document |
| September 04, 2018 Filed Sep 5, 2018 21:23 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 2,354.177 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-18-012916 · ownership.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,394.336 Underlying: Common Shares · 2,354.177 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, 2018 Filed Jun 6, 2018 19:52 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 1,807.826 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-18-008276 · form4.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,040.159 Underlying: Common Shares · 1,807.826 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 20, 2018 Filed Apr 24, 2018 14:53 UTC | Trilogy Metals Inc. TMQ · Entity 5362 | OtherCommon Shares | 5,031,250 | $1.16 | $5,836,250.00 |
DisclosureSEC source: 0001493152-18-005670 · form4.xml · nonDerivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Possible member of 10% group Electrum Strategic Opportunities Fund L.P. · CIK 0001637981 · Possible member of 10% group Electrum Group LLC · CIK 0001565641 · Possible member of 10% group ESOF GP Ltd. · CIK 0001663180 · Possible member of 10% group GRAT Holdings LLC · CIK 0001565707 · Possible member of 10% group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Electrum Strategic Opportunities Fund L.P. Disclosed balance after: 29,422,923 F1 · kind: On April 20, 2018, ESOF acquired 5,031,250 of the Issuer's Common Shares for an aggregate purchase price of $5,836,250, or $1.16 per Common Share. 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. F5 · ownership.nature: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by Tigris, GRAT Holdings, and ESOF is reported herein. For purposes of Section16 of the Securities Exchange Act of 1934, each reporting person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such reporting person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| March 01, 2018 Filed Mar 3, 2018 00:49 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 2,184.392 | $0.00 | $0.00 |
DisclosureSEC source: 0001193805-18-000340 · e617759_4-kaplan.xml · derivative · entry 2 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,232.335 Underlying: Common Shares · 2,184.392 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, 2017 Filed Dec 4, 2017 21:27 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantStock Option (right to buy) · Derivative | 100,100 | $0.00 Strike: $3.85 | $0.00 |
DisclosureSEC source: 0001193805-17-003549 · e617528_4-kaplan.xml · derivative · entry 5 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,100 Underlying: Common Shares · 100,100 shares Expires 2022-11-30 F4 · derivative.exercise_date: One-third of the reported options will vest on each of December 1, 2018, December 1, 2019 and December 1, 2020. Read SEC document |
| December 01, 2017 Filed Dec 4, 2017 21:27 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 2,249.041 | $0.00 | $0.00 |
DisclosureSEC source: 0001193805-17-003549 · e617528_4-kaplan.xml · derivative · entry 4 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,047.943 Underlying: Common Shares · 2,249.041 shares Expires not disclosed F3 · 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. F3 · 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. F3 · 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. F3 · 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 30, 2017 Filed Dec 4, 2017 21:27 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | Exercise / conversionStock Option (right to buy) · Derivative | 130,050 | $0.00 Strike: $4.38 | $0.00 |
DisclosureSEC source: 0001193805-17-003549 · e617528_4-kaplan.xml · derivative · entry 3 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 130,050 shares Expires 2017-12-04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The reported price is expressed in Canadian dollars. Read SEC document |
| November 30, 2017 Filed Dec 4, 2017 21:27 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | Tax withholdingCommon Stock | 113,924 | $5.00 | $569,620.00 |
DisclosureSEC source: 0001193805-17-003549 · e617528_4-kaplan.xml · nonDerivative · entry 2 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,126 F1 · price: The reported price is expressed in Canadian dollars. F2 · price: The reported price reflects the last sale price per common share on November 30, 2017. Read SEC document |
| November 30, 2017 Filed Dec 4, 2017 21:27 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | Exercise / conversionCommon Stock | 130,050 | $4.38 | $569,619.00 |
DisclosureSEC source: 0001193805-17-003549 · e617528_4-kaplan.xml · nonDerivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,050 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The reported price is expressed in Canadian dollars. Read SEC document |
| September 01, 2017 Filed Sep 5, 2017 20:45 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 2,034.876 | $0.00 | $0.00 |
DisclosureSEC source: 0001193805-17-001621 · e616554_4-kaplan.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,798.902 Underlying: Common Shares · 2,034.876 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, 2017 Filed Jun 5, 2017 22:07 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 2,217.69 | $0.00 | $0.00 |
DisclosureSEC source: 0001193805-17-001011 · e616245_4-kaplan.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,764.026 Underlying: Common Shares · 2,217.69 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, 2017 Filed Mar 3, 2017 20:23 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 1,575.48 | $0.00 | $0.00 |
DisclosureSEC source: 0001193805-17-000379 · e615864_4-kaplan.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,546.336 Underlying: Common Shares · 1,575.48 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, 2016 Filed Dec 2, 2016 17:16 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantStock Option (right to buy) · Derivative | 88,400 | $0.00 Strike: $4.58 | $0.00 |
DisclosureSEC source: 0001193805-16-004334 · e615609_4-kaplan.xml · derivative · entry 2 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,400 Underlying: Common Shares · 88,400 shares Expires 2021-11-30 F2 · derivative.exercise_date: One-third of the reported options vested immediately upon issuance and an additional one-third of the reported options will vest on each of December 1, 2017 and December 1, 2018. Read SEC document |
| December 01, 2016 Filed Dec 2, 2016 17:16 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 1,942.189 | $0.00 | $0.00 |
DisclosureSEC source: 0001193805-16-004334 · e615609_4-kaplan.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,970.856 Underlying: Common Shares · 1,942.189 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, 2016 Filed Sep 6, 2016 20:30 UTC | NOVAGOLD RESOURCES INC NG · Entity 1348 | GrantDeferred Share Unit · Derivative | 1,617.606 | $0.00 | $0.00 |
DisclosureSEC source: 0001193805-16-003901 · e615382_4-kaplan.xml · derivative · entry 1 KAPLAN THOMAS SCOTT · CIK 0001124803 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,028.667 Underlying: Common Shares · 1,617.606 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.