SEC Form 4/A · accession 0001164727-19-000012
NEWMONT Corp /DE/ · NEM
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
Stephen P Gottesfeld
Officer — EVP and General Counsel
Period of report
Dec 26, 2018
Accepted (ET)
Jan 3, 2019 · 5:32 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,F3 | Dec 26, 2018 | S | 14,000 | $35.0109 | D | 164,264 | D |
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.
- F2On December 26, 2018, the reporting person's broker effected a sale pursuant to a previously adopted 10b5-1 plan, which was subsequently reported on Form 4 on December 28, 2018. Pursuant to the terms of that plan, 14,000 shares should have been sold on that date, however, due to broker error in effecting that transaction, only 3,500 shares were sold. Upon learning of this error, and without involvement or instruction from the reporting person, the broker engaged in its customary internal procedures to correct the error as of the date dictated by the 10b5-1 plan.
- F3This 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.