SEC Form 4 · accession 0001164727-18-000179
NEWMONT Corp /DE/ · NEM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Stephen P Gottesfeld
Officer — EVP and General Counsel
Period of report
Dec 26, 2018
Accepted (ET)
Dec 28, 2018 · 4:53 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 valueF1,F2 | Dec 26, 2018 | S | 3,500 | $35.0137 | D | 174,764 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF5,F3,F4 | — | Aug 15, 2018 | J | 170 | D | — | — | Common Stock | 170 | 0 | D |
Explanation of responses
- F1The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on April 30, 2018.
- F2This transaction was executed in multiple trades at prices ranging from $35.01 to $35.025. 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.
- F3Convertible on a 1-for-1 basis
- F4Shares of phantom stock, payable in cash under the terms of the Savings Equalization Plan of the Corporation, were reallocated following the elimination of the Newmont Stock Fund as an investment option under the Savings Equalization Plan. No volitional sales or transfers of Newmont securities were made by the reporting person in connection with the above reported change in ownership.
- F5The number of phantom stock reported is based on the Corporation's estimation of the share value correlated with the number of units in the Savings Equalization Plan of the Corporation. Fluctuation in share estimation since the filing of the Form 4 reporting the acquisition of the phantom stock reflects changes in the stock price rather than investments or dispositions of units within the Savings Equalization Plan.