SEC Form 4 · accession 0001144204-17-016246
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
Mar 21, 2017
Accepted (ET)
Mar 23, 2017 · 2:39 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001432196
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | $0.00 | Mar 21, 2017 | A | 50,000 | A | — | — | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1The Reporting Person received the reported restricted stock units pursuant to a grant by the Board of Directors of the Issuer on March 21, 2017
- F2The restricted stock units vested on the date of grant. For each fully vested restricted stock unit, the Reporting Person will be entitled to receive one share of common stock upon the earlier of December 31, 2018, the Reporting Person's separation from service, the Reporting Person's death, or a change in control of the Issuer, all as set forth in a Restricted Stock Unit Grant Agreement dated March 21, 2017.