SEC Form 4 · accession 0001140361-17-039552
Contango Silver & Gold Inc. · CTGO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John B Juneau
Officer — President and CEO · Director · Other
Period of report
Oct 23, 2017
Accepted (ET)
Oct 25, 2017 · 5:06 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, par value $0.01F1,F3 | Oct 23, 2017 | P | 13,200 | $19.00 | A | 96,534 | I | By Juneau Exploration. L.P. |
| Common Stock, par value $0.01F2 | holding | — | — | — | 147,234 | I | By J5D Enterprises, LP, formerly J4D Enterprises LP | |
| Common Stock, par value $0.01 | holding | — | — | — | 166,898 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F4 | $10.00 | holding | — | — | — | — | Dec 7, 2017 | Common Stock | 75,000 | 75,000 | D |
Explanation of responses
- F1The reporting person acquired 13,200 shares of common stock at $19.00 per share, in a private placement to certain investors (the Investors) pursuant a Stock Purchase Agreement dated October 23, 2017 between Contango ORE, Inc. and the Investors.
- F2This number represents the amount of common stock owned by J5D Enterprises, LP.
- F3This number represents the amount of common stock owned by Juneau Exploration, LP.
- F4The options are fully vested.