SEC Form 4 · accession 0001137171-16-000367
Contango Silver & Gold Inc. · CTGO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donald Gillen
10% Owner
Period of report
Aug 11, 2011
Accepted (ET)
Oct 19, 2016 · 6:34 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001502377
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 8, 2011 | P | 32 | $13.25 | A | 327,186 | D | |
| Common Stock | Oct 13, 2011 | P | 1,067 | $14.00 | A | 328,253 | I | Kinderock Resources Ltd. |
| Common Stock | Oct 13, 2011 | P | 88 | $14.00 | A | 328,341 | I | Kinderock Resources Ltd. |
| Common Stock | Oct 14, 2011 | P | 1,030 | $14.00 | A | 329,371 | I | Kinderock Resources Ltd. |
| Common Stock | Oct 17, 2011 | P | 815 | $14.00 | A | 330,186 | I | Kinderock Resources Ltd. |
| Common Stock | Oct 18, 2011 | P | 6 | $13.00 | A | 330,192 | D | |
| Common Stock | Oct 19, 2011 | P | 245 | $13.00 | A | 330,437 | D | |
| Common Stock | Oct 19, 2011 | P | 520 | $13.00 | A | 330,957 | D | |
| Common Stock | Oct 20, 2011 | P | 69 | $13.00 | A | 331,026 | D | |
| Common Stock | Oct 25, 2011 | P | 190 | $13.556 | A | 331,216 | D | |
| Common Stock | Oct 26, 2011 | P | 862 | $13.986 | A | 332,078 | D | |
| Common Stock | Oct 27, 2011 | P | 34 | $14.00 | A | 332,112 | D | |
| Common Stock | Oct 28, 2011 | P | 25 | $14.00 | A | 332,137 | D | |
| Common Stock | Nov 4, 2011 | P | 91 | $14.00 | A | 332,228 | D | |
| Common Stock | Nov 14, 2011 | P | 174 | $14.50 | A | 332,402 | D | |
| Common Stock | Nov 25, 2011 | P | 174 | $14.712 | A | 332,576 | D | |
| Common Stock | Dec 6, 2011 | P | 1,303 | $15.00 | A | 333,879 | D | |
| Common Stock | Dec 6, 2011 | P | 23 | $15.00 | A | 333,902 | D | |
| Common Stock | Dec 23, 2011 | P | 500 | $15.00 | A | 334,402 | I | Kinderock Resources Ltd. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant | $10.00 | Mar 22, 2013 | P | 125,000 | A | Sep 22, 2013 | Mar 22, 2018 | Common Stock | 125,000 | 12,500 | D |
| Warrant | $10.00 | Mar 22, 2013 | P | 50,000 | A | Sep 22, 2013 | Mar 22, 2018 | Common Stock | 50,000 | 50,000 | I |
| Warrant | $10.00 | Mar 22, 2013 | P | 75,000 | A | Sep 22, 2013 | Mar 22, 2018 | Common Stock | 75,000 | 75,000 | I |
Remarks
The reporting person Acquired an aggregate of 250,000 Units at a price per Unit of $12.00. Each Unit entitles the holder to one share of common stock and a five - year warrant to purchase one share of common stock at an exercise price of $10.00