SEC Form 4/A · accession 0001011034-16-000196
Golden Minerals Co · AUMN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Period of report
Jun 10, 2016
Accepted (ET)
Jun 14, 2016 · 2:29 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001011509
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 10, 2016 | C | 4,011,740 | $0.2891 | A | 37,650,684 | D | |
| Common Stock | holding | — | — | — | 33,638,944 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF2 | $4.72 | Jun 10, 2016 | J | 682,897 | A | Mar 20, 2013 | Sep 19, 2017 | Common Stock | 682,897 | 682,897 | D |
| WarrantsF2 | $4.72 | Jun 10, 2016 | J | 119,352 | A | Sep 10, 2014 | Sep 19, 2017 | Common Stock | 119,352 | 119,352 | D |
| Warrants | $0.87 | May 6, 2016 | J | 2,900,000 | A | Mar 11, 2015 | Sep 10, 2019 | Common Stock | 2,900,000 | 2,900,000 | D |
| WarrantsF2 | $4.72 | Jun 10, 2016 | J | 225,441 | A | Jan 19, 2016 | Sep 19, 2017 | Common Stock | 225,441 | 225,441 | D |
| Convertible NoteF1 | $0.29 | Jun 10, 2016 | C | 4,011,740 | D | Jan 19, 2016 | Oct 27, 2016 | Common Stock | 4,011,740 | 0 | D |
| WarrantsF2 | $4.72 | Jun 10, 2016 | J | 102,182 | A | Feb 11, 2016 | Sep 19, 2017 | Common Stock | 102,182 | 102,182 | D |
| WarrantsF2 | $4.72 | Jun 10, 2016 | J | 86,531 | A | May 6, 2016 | Sep 19, 2017 | Common Stock | 86,531 | 86,531 | D |
| WarrantsF3 | $4.72 | Jun 10, 2016 | J | 1,589 | A | Jun 10, 2016 | Sep 19, 2017 | Common Stock | 1,589 | 1,589 | D |
Explanation of responses
- F1Shares issued upon final conversion ($1,125,583.61 principal plus $34,064.20 of interest) of Convertible Note.
- F2Reflects revised Warrant exercise price resulting from anti-dilution adjustments triggered by final conversion of Convertible Note (see footnote 1).
- F3Reflects additional shares issuable upon exercise of Warrants originally issued in 2012 to give effect to anti-dilution adjustments triggered by final conversion of Convertible Note.