SEC Form 4 · accession 0001144204-15-006816
Pershing Gold Corp. · PGLC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen D. Alfers
Officer — CEO and President · Director
Period of report
Feb 5, 2015
Accepted (ET)
Feb 6, 2015 · 6:38 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,F2 | holding | — | — | — | 3,892,510 | D | ||
| Common StockF1,F3 | holding | — | — | — | 1,107,490 | D | ||
| Common StockF1,F4 | holding | — | — | — | 12,000,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The holdings row in Table I is not a new grant of securities of the issuer. This Form 4 is being filed because the vesting date for some of the restricted common stock reported in this Table I has been deferred to a later date. This Form 4 amends the vesting schedule previously reported.
- F2The reporting person received 3,892,510 shares of restricted common stock pursuant to a Restricted Stock Agreement dated May 13, 2013. Pursuant to a Third Amendment to Restricted Stock Agreement dated February 5, 2015, the vesting of 1,297,762 restricted shares was deferred from June 18, 2015 to March 14, 2016.
- F3The reporting person received 1,107,490 shares of restricted common stock pursuant to an Amended and Restated Restricted Stock Agreement dated May 13, 2013. Pursuant to a Third Amendment to Amended and Restated Restricted Stock Agreement dated February 5, 2015, the vesting of 369,238 restricted shares was deferred from June 18, 2015 to March 14, 2016.
- F4The reporting person received 12,000,000 shares of restricted common stock pursuant to an Executive Employment Agreement dated February 9, 2012. Pursuant to a Third Amendment to Executive Employment Agreement dated February 5, 2015, the vesting of 3,000,000 restricted shares was deferred from February 9, 2015 to February 9, 2016.