SEC Form 3/A · accession 0001140361-16-085456
NIOCORP DEVELOPMENTS LTD · NB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 3/A). It replaces an earlier filing for the same period.
Reporting owner
Neal S. Shah
Officer — Chief Financial Officer
Period of report
Oct 28, 2016
Accepted (ET)
Nov 8, 2016 · 7:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001512228
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares | holding | — | — | — | 54,500 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1 | $0.6957 | holding | — | — | — | Sep 2, 2014 | Sep 1, 2017 | Common Shares | 500,000 | — | D |
| Employee Stock Option (Right to Buy)F2 | $0.6871 | holding | — | — | — | Dec 22, 2014 | Dec 21, 2017 | Common Shares | 200,000 | — | D |
| Employee Stock Option (Right to Buy)F4,F3 | $0.4353 | holding | — | — | — | Jan 21, 2016 | Jan 20, 2021 | Common Shares | 350,000 | — | D |
Explanation of responses
- F1The exercise price reported above was converted from the Canadian exercise price of $0.76 using an exchange rate of Cdn$1.0925=US$1.00.
- F2The exercise price reported above was converted from the Canadian exercise price of $0.80 using an exchange rate of Cdn$1.1643=US$1.00.
- F3The options vest as follows: 50% on 7/21/16; 25% on 1/21/17; and the remaining balance on 7/21/17.
- F4The exercise price reported above was converted from the Canadian exercise price of $0.62 using an exchange rate of Cdn$1.4243=US$1.00.