Statement of Changes in Beneficial Ownership (4)
December 04 2019 - 4:17PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Nault Casey M. |
2. Issuer Name and Ticker or Trading Symbol
Coeur Mining, Inc.
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CDE
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) SVP & General Counsel |
(Last)
(First)
(Middle)
104 S. MICHIGAN AVE., STE. 900 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/3/2019 |
(Street)
CHICAGO, IL 60603
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, par value $0.01 per share | 12/3/2019 | | S(1) | | 20000 | D | $7.003 (2) | 357744 (3) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Incentive Stock Options (right to buy) | $19.01 | | | | | | | 5/7/2013 (4) | 5/7/2022 | Common Stock | 8266.0 | | 8266 | D | |
Non-qualified Stock Options (right to buy) | $19.01 | | | | | | | 5/7/2013 (4) | 5/7/2022 | Common Stock | 770.0 | | 770 | D | |
Incentive Stock Options (right to buy) | $23.9 | | | | | | | 1/22/2014 (4) | 1/22/2023 | Common Stock | 4184.0 | | 4184 | D | |
Non-qualified Stock Options (right to buy) | $23.9 | | | | | | | 1/22/2014 (4) | 1/22/2023 | Common Stock | 4987.0 | | 4987 | D | |
Explanation of Responses: |
(1) | The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 selling plan adopted by the reporting person on May 22, 2019 (as disclosed in the Registrant's Current Report on Form 10-Q filed on August 7, 2019). |
(2) | This transaction was executed in multiple trades at prices ranging from $7.00 to $7.01. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(3) | Includes 104,689 unvested shares of restricted stock. |
(4) | The stock options become exercisable to the extent of one-third on each of the above date, its first anniversary and its second anniversary. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Nault Casey M. 104 S. MICHIGAN AVE., STE. 900 CHICAGO, IL 60603 |
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| SVP & General Counsel |
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Signatures
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/s/ Casey M. Nault | | 12/4/2019 |
**Signature of Reporting Person | Date |
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