Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NIOCORP DEVELOPMENTS LTDNIOBF · Entity 5368 | Vice President | March 10, 2021 | March 12, 2021 |
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.
NIOCORP DEVELOPMENTS LTD
Report date March 10, 2021 · Filed March 12, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 926,755 |
Ending reported balance
After 2021-03-10 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2021-03-10 · Exercise / conversion · Acquired 350,000 · Balance 1,112,226 F1: Option exercise price reflected was converted from Canadian exercise price of C$0.62 using an exchange rate of C$1.2635 = US$1.00 as reported by the Bank of Canada on March 9, 2021. Row 2 · 2021-03-10 · Tax withholding · Disposed 185,471 · Balance 926,755 F2: Sale price of common shares withheld in satisfaction of option exercise price is based on the closing price of the common shares on the Toronto Stock Exchange on March 9, 2021 of C$1.17, which was converted using an exchange rate of C$1.2635 = US$1.00 as reported by the Bank of Canada on March 9, 2021. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.53 · Expires 2021-03-17 | Direct | 0 |
Reported balance
After 2021-03-10 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-03-10 · Exercise / conversion · Disposed 350,000 · Balance 0 F1: Option exercise price reflected was converted from Canadian exercise price of C$0.62 using an exchange rate of C$1.2635 = US$1.00 as reported by the Bank of Canada on March 9, 2021. F3: The option, representing a right to purchase a total of 350,000 Common Shares, became exercisable on issuance date of January 19, 2016. |
Filing footnotes · ownership attribution and instrument terms
F1: Option exercise price reflected was converted from Canadian exercise price of C$0.62 using an exchange rate of C$1.2635 = US$1.00 as reported by the Bank of Canada on March 9, 2021.
F2: Sale price of common shares withheld in satisfaction of option exercise price is based on the closing price of the common shares on the Toronto Stock Exchange on March 9, 2021 of C$1.17, which was converted using an exchange rate of C$1.2635 = US$1.00 as reported by the Bank of Canada on March 9, 2021.
F3: The option, representing a right to purchase a total of 350,000 Common Shares, became exercisable on issuance date of January 19, 2016.
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 |
|---|---|---|---|---|---|---|
| March 10, 2021 Filed Mar 12, 2021 15:59 UTC | NIOCORP DEVELOPMENTS LTD NIOBF · Entity 5368 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 350,000 | $0.00 Strike: $0.53 | $0.00 |
DisclosureSEC source: 0001785982-21-000054 · sf0097h_form4.xml · derivative · entry 3 Ashburn John F. Jr. · CIK 0001496551 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 350,000 shares Expires 2021-03-17 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: Option exercise price reflected was converted from Canadian exercise price of C$0.62 using an exchange rate of C$1.2635 = US$1.00 as reported by the Bank of Canada on March 9, 2021. F3 · derivative.exercise_date: The option, representing a right to purchase a total of 350,000 Common Shares, became exercisable on issuance date of January 19, 2016. Read SEC document |
| March 10, 2021 Filed Mar 12, 2021 15:59 UTC | NIOCORP DEVELOPMENTS LTD NIOBF · Entity 5368 | Tax withholdingCommon Shares | 185,471 | $0.93 | $171,746.15 |
DisclosureSEC source: 0001785982-21-000054 · sf0097h_form4.xml · nonDerivative · entry 2 Ashburn John F. Jr. · CIK 0001496551 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 926,755 F2 · price: Sale price of common shares withheld in satisfaction of option exercise price is based on the closing price of the common shares on the Toronto Stock Exchange on March 9, 2021 of C$1.17, which was converted using an exchange rate of C$1.2635 = US$1.00 as reported by the Bank of Canada on March 9, 2021. Read SEC document |
| March 10, 2021 Filed Mar 12, 2021 15:59 UTC | NIOCORP DEVELOPMENTS LTD NIOBF · Entity 5368 | Exercise / conversionCommon Shares | 350,000 | $0.53 | $185,465.00 |
DisclosureSEC source: 0001785982-21-000054 · sf0097h_form4.xml · nonDerivative · entry 1 Ashburn John F. Jr. · CIK 0001496551 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,112,226 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: Option exercise price reflected was converted from Canadian exercise price of C$0.62 using an exchange rate of C$1.2635 = US$1.00 as reported by the Bank of Canada on March 9, 2021. Read SEC document |
| December 14, 2020 Filed Dec 15, 2020 18:14 UTC | NIOCORP DEVELOPMENTS LTD NIOBF · Entity 5368 | GrantEmployee Stock Option (Right to Buy) · Derivative | 125,000 | $0.00 Strike: $0.59 | $0.00 |
DisclosureSEC source: 0001785982-20-001009 · sf0069h_form4.xml · derivative · entry 1 Ashburn John F. Jr. · CIK 0001496551 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Shares · 125,000 shares Expires 2023-12-14 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$0.75 using an exchange rate of C$1.2769=US$1.00 as reported by the Bank of Canada on December 11, 2020. Read SEC document |
| November 15, 2018 Filed Dec 6, 2018 17:43 UTC | NIOCORP DEVELOPMENTS LTD NIOBF · Entity 5368 | GrantEmployee Stock Option (Right to Buy) · Derivative | 175,000 | $0.00 Strike: $0.42 | $0.00 |
DisclosureSEC source: 0001615774-18-013963 · s114553_form4.xml · derivative · entry 1 Ashburn John F. Jr. · CIK 0001496551 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,000 Underlying: Common Shares · 175,000 shares Expires 2023-11-15 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of C$0.54 using an exchange rate of C$1.2773=US$1.00 as reported by the Bank of Canada on November 15, 2018. F2 · derivative.exercise_date: The option vests as follows: 50% on 05/15/2019; 25% on 11/15/2019; 25% on 05/15/2020. Read SEC document |
| November 09, 2017 Filed Nov 13, 2017 17:01 UTC | NIOCORP DEVELOPMENTS LTD NIOBF · Entity 5368 | GrantEmployee Stock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $0.37 | $0.00 |
DisclosureSEC source: 0001615774-17-006560 · s108114_form4.xml · derivative · entry 1 Ashburn John F. Jr. · CIK 0001496551 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Shares · 100,000 shares Expires 2022-11-09 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of $0.47 using an exchange rate of C$1.2692=US$1.00. F2 · derivative.exercise_date: This option is fully vested Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 17:51 UTC | NIOCORP DEVELOPMENTS LTD NIOBF · Entity 5368 | GrantEmployee Stock Option (Right to Buy) · Derivative | 400,000 | $0.00 Strike: $0.57 | $0.00 |
DisclosureSEC source: 0001140361-17-011054 · doc1.xml · derivative · entry 1 Ashburn John F. Jr. · CIK 0001496551 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400,000 Underlying: Common Shares · 400,000 shares Expires 2022-03-06 F1 · derivative.exercise_price: Option exercise price reflected was converted from Canadian exercise price of $0.76 using an exchange rate of C$1.3410=US$1.00. F2 · derivative.exercise_date: The option vests as follows: 50% on 9/2/2017; 25% on 3/6/2018; 25% on 9/2/2018. Read SEC document |
| February 14, 2017 Filed Feb 15, 2017 13:21 UTC | NIOCORP DEVELOPMENTS LTD NIOBF · Entity 5368 | GrantWarrants · Derivative | 112,226 | Not disclosed Strike: $0.65 | Not disclosed |
DisclosureSEC source: 0001140361-17-007643 · doc1.xml · derivative · entry 2 Ashburn John F. Jr. · CIK 0001496551 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,226 Underlying: Common Shares · 112,226 shares Expires 2020-02-14 F2 · derivative.exercise_price: Converted from a Canadian exercise price of $0.85 per share using an exchange rate of Cdn$1.3093=US$1.00. F3 · price: Included in purchase price of common shares reported in Table I above. Read SEC document |
| February 14, 2017 Filed Feb 15, 2017 13:21 UTC | NIOCORP DEVELOPMENTS LTD NIOBF · Entity 5368 | PurchaseCommon Shares | 112,226 | $0.43 | $48,773.42 |
DisclosureSEC source: 0001140361-17-007643 · doc1.xml · nonDerivative · entry 1 Ashburn John F. Jr. · CIK 0001496551 · Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 762,226 F1 · price: Converted from a Canadian purchase price of $0.70 per unit using an exchange rate of Cdn$1.3093=US$1.00. Unit price includes the warrants reported in Table II above. 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.