SEC Form 4 · accession 0001140361-17-007643
NIOCORP DEVELOPMENTS LTD · NB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John F. Ashburn Jr.
Officer — Vice President
Period of report
Feb 14, 2017
Accepted (ET)
Feb 15, 2017 · 1:21 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 SharesF1 | Feb 14, 2017 | P | 112,226 | $0.4346 | A | 762,226 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF3,F2 | $0.6492 | Feb 14, 2017 | A | 112,226 | A | Feb 14, 2017 | Feb 14, 2020 | Common Shares | 112,226 | 112,226 | D |
Explanation of responses
- F1Converted from a Canadian purchase price of $0.70 per unit using an exchange rate of Cdn$1.3093=US$1.00. Unit price includes the warrants reported in Table II above.
- F2Converted from a Canadian exercise price of $0.85 per share using an exchange rate of Cdn$1.3093=US$1.00.
- F3Included in purchase price of common shares reported in Table I above.