SEC Form 4 · accession 0001567619-18-003652
Contango Silver & Gold Inc. · CTGO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Leah S Gaines
Officer — Chief Financial Officer
Period of report
May 18, 2018
Accepted (ET)
Oct 3, 2018 · 4:45 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 | May 18, 2018 | M | 1,875 | $10.01 | A | 51,828 | D | |
| Common Stock, par value $0.01F1 | May 18, 2018 | F | 719 | $26.10 | D | 51,109 | D | |
| Common Stock, par value $0.01F2 | Jun 28, 2018 | M | 3,750 | $10.01 | A | 54,859 | D | |
| Common Stock, par value $0.01F2 | Jun 28, 2018 | F | 1,564 | $24.00 | D | 53,295 | D | |
| Common Stock, par value $0.01F3 | Sep 25, 2018 | M | 1,875 | $10.01 | A | 55,170 | D | |
| Common Stock, par value $0.01F3 | Sep 25, 2018 | F | 816 | $23.00 | D | 54,354 | 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)F1 | $10.01 | May 18, 2018 | M | 1,875 | D | — | Sep 25, 2018 | Common Stock | 1,875 | 5,625 | D |
| Stock Option (right to buy)F2 | $10.01 | Jun 28, 2018 | M | 3,750 | D | — | Sep 25, 2018 | Common Stock | 3,750 | 1,875 | D |
| Stock Option (right to buy)F3 | $10.01 | Sep 25, 2018 | M | 1,875 | D | — | Sep 25, 2018 | Common Stock | 1,875 | 0 | D |
Explanation of responses
- F1On May 18, 2018, the reporting person received 1,156 shares of Common Stock upon the net exercise of 1,875 of the reporting person's stock options. The reporting person forfeited 719 shares of Common Stock underlying the stock options in payment of the exercise price resulting from the exercise, using the closing price on May 17, 2018 of $26.10.
- F2On June 28, 2018, the reporting person received 2,186 shares of Common Stock upon the net exercise of 3,750 of the reporting person's stock options. The reporting person forfeited 1,564 shares of Common Stock underlying the stock options in payment of the exercise price resulting from the exercise, using the closing price on June 28, 2018 of $24.00.
- F3On September 25, 2018, the reporting person received 1,059 shares of Common Stock upon the net exercise of 1,875 of the reporting person's stock options. The reporting person forfeited 816 shares of Common Stock underlying the stock options in payment of the exercise price resulting from the exercise, using the closing price on September 25, 2018 of $23.00.