SEC Form 4 · accession 0001164727-17-000035
NEWMONT Corp /DE/ · NEM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
E Randall Engel
Officer — EVP, Strategic Development
Period of report
Feb 27, 2017
Accepted (ET)
Mar 1, 2017 · 5:02 pm EST
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 value | Feb 27, 2017 | A | 84,800 | $0.00 | A | 289,870 | D | |
| Common Stock, $1.60 par valueF1 | Feb 27, 2017 | F | 39,500 | $35.01 | D | 250,370 | D | |
| Common Stock, $1.60 par value | Feb 27, 2017 | A | 24,850 | $0.00 | A | 275,220 | D | |
| Common Stock, $1.60 par valueF2,F3 | Feb 28, 2017 | S | 12,720 | $34.22 | D | 262,500 | D | |
| Common Stock, $1.60 par valueF4 | holding | — | — | — | 4,077 | I | By 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares withheld to satisfy tax withholding obligation applicable to the vesting of 84,800 stock-settled restricted stock units.
- F2The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on April 29, 2016.
- F3This transaction was executed in multiple trades at prices ranging from $34.09 to $34.36. The price reported reflects the weighted average sales price. This reporting person undertakes to provide (upon request by the SEC staff, the issuer, or a security holder of the issuer) full information regarding the number of shares sold at each separate price.
- F4The reported shareholding is based on the Company's estimation of the share value correlated with the number of units in the fund. As of February 28, 2017, the reporting person held 4,077 shares or 14,964 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.