SEC Form 4 · accession 0001164727-16-000136
NEWMONT Corp /DE/ · NEM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William N MacGowan
Officer — EVP, Human Resources
Period of report
Nov 1, 2016
Accepted (ET)
Nov 3, 2016 · 4:50 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001164727
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $1.60 par valueF1 | Nov 1, 2016 | S | 2,006 | $37.53 | D | 96,773 | D | |
| Common Stock, $1.60 par valueF2 | holding | — | — | — | 1,030 | I | By 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 12, 2016.
- F2The reported shareholding is based on the Company's estimation of the share value correlated with the number of units in the fund. As of October 31, 2016, the reporting person held 1,030 shares or 3,785 units of Newmont Mining common stock in his 401(k) Plan. Fluctuation in share estimate since the filing of the last Form 4 reflects changes in the stock price rather than investments or dispositions of units within the stock fund.