SEC Form 4 · accession 0001235110-16-000069
General Moly, Inc · GMO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lee Shumway
Officer — Chief Financial Officer
Period of report
Dec 11, 2016
Accepted (ET)
Dec 13, 2016 · 4:03 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001275229
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 11, 2016 | M | 8,961 | $0.00 | A | 502,323 | D |
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,F4 | — | Dec 11, 2016 | M | 8,961 | D | — | — | Common Stock | 8,961 | 0 | D |
Explanation of responses
- F1Represents acquisition of common stock upon vesting of restricted stock units.
- F2Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.
- F3The restricted stock units vest as follows: one-third on December 11, 2014, one-third on December 11, 2015 and one-third on December 11, 2016.
- F4One-third of the restricted stock units will convert to shares of the issuer's common stock on each vesting date and the shares will be delivered to the reporting person.