SEC Form 4/A · accession 0001144204-15-005689
Pershing Gold Corp. · PGLC
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
Barry C Honig
Director · 10% Owner
Period of report
Jan 5, 2015
Accepted (ET)
Feb 3, 2015 · 7:45 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001432196
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 5, 2015 | P | 1,787,500 | $0.28 | A | 27,667,314 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series E Preferred StockF1,F2 | $0.28 | Jan 5, 2014 | P | 505 | A | Jan 5, 2014 | — | Common Stock | 1,785,536 | 4,230 | I |
| WarrantsF1 | $0.40 | Jan 5, 2014 | P | 606,000 | A | Jan 5, 2014 | Aug 8, 2016 | Common Stock | 606,000 | 4,242,000 | I |
Explanation of responses
- F1Held by GRQ Consultants, Inc. 401K Plan. Barry Honig is the trustee of GRQ Consultants, Inc. 401K Plan and in such capacity is deemed to hold voting and dispositive power over the securities held by GRQ Consultants, Inc. 401K Plan.
- F2There is no expiration date pursuant to which the Series E Convertible Preferred Stock must be converted.
Remarks
*This amendment is filed to correct the number of common stock underlying the Series E Preferred Stock from 1,783,929 to 1,785,536 and conversion price of the Series E Preferred Stock from $0.33 to $0.28.