SEC Form 4 · accession 0001311605-17-000153
Klondex Mines Unlimited Liability Co · KLDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John W. Seaberg
Officer — Senior VP, Investor Relations
Period of report
Jul 31, 2017
Accepted (ET)
Aug 2, 2017 · 2:53 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001311605
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1 | Jul 31, 2017 | M | 5,000 | $0.00 | A | 141,721 | D | |
| Common SharesF2 | Jul 31, 2017 | F | 1,599 | $3.18 | D | 140,122 | D | |
| Common SharesF1 | Jul 31, 2017 | M | 4,000 | $0.00 | A | 144,122 | D | |
| Common SharesF2 | Jul 31, 2017 | F | 1,280 | $3.18 | D | 142,842 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Share UnitsF1,F3 | — | Jul 31, 2017 | M | 5,000 | D | — | — | Common Shares | 5,000 | 0 | D |
| Restricted Share UnitsF1,F4 | — | Jul 31, 2017 | M | 4,000 | D | — | — | Common Shares | 4,000 | 12,000 | D |
Explanation of responses
- F1Each restricted share unit represents a contingent right to receive the economic equivalent of one common share of Klondex Mines Ltd.
- F2Represents the number of shares withheld to cover the tax liability on the vesting of the RSU grant reported in Table II.
- F3The RSUs vest 1/3 on 5/13/2016, 1/3 on 7/31/2016, and 1/3 on 7/31/2017.
- F4The RSUs vest 1/5 on 7/31/2016, 1/5 on 7/31/2017, and 3/5 on 7/31/2018.