SEC Form 4 · accession 0001179110-18-010648
GOLD RESOURCE CORP · GORO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory A Patterson
Officer — VP Corporate Development
Period of report
Aug 15, 2018
Accepted (ET)
Aug 16, 2018 · 8:02 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001160791
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 15, 2018 | M | 2,027 | — | A | 371,203 | D | |
| Common Stock | holding | — | — | — | 43,740 | I | As trustee of Patterson Grandchildren Trust | |
| Common Stock | holding | — | — | — | 6,000 | I | By custodial account fbo Reporting Person's children | |
| Common Stock | holding | — | — | — | 300,000 | I | By LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | Aug 15, 2018 | M | 2,027 | D | — | — | Common Stock | 2,027 | 4,056 | D |
Explanation of responses
- F1The restricted stock units granted to the reporting person on July 3, 2017 vested and the units settled for shares of the Company's common stock.
- F2Each restricted stock unit represents the contingent right to receive one share of the Company's common stock upon vesting of the unit.
- F3The awards vest in three equal tranches on August 15 each year beginning August 15, 2018, assuming continued employment through such vesting date and shall expire on the vesting date of the third tranche of units.