SEC Form 4 · accession 0001562180-18-003045
ROYAL GOLD INC · RGLD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Holmes Heissenbuttel
Officer — VP Corp Dev & Ops
Period of report
Jun 14, 2018
Accepted (ET)
Jun 18, 2018 · 7:51 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000085535
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 14, 2018 | M | 5,114 | $53.00 | A | 75,324 | D | |
| Common StockF1 | Jun 14, 2018 | D | 2,905 | $93.30 | D | 72,419 | D | |
| Common Stock | Jun 14, 2018 | M | 4,000 | $49.66 | A | 76,419 | D | |
| Common StockF2 | Jun 14, 2018 | D | 2,129 | $93.30 | D | 74,290 | D | |
| Common Stock | Jun 14, 2018 | M | 3,534 | $68.18 | A | 77,824 | D | |
| Common StockF3 | Jun 14, 2018 | D | 2,583 | $93.30 | D | 75,241 | D | |
| Common Stock | Jun 14, 2018 | M | 3,950 | $75.32 | A | 79,191 | D | |
| Common StockF4 | Jun 14, 2018 | D | 3,189 | $93.30 | D | 76,002 | D | |
| Common Stock | Jun 14, 2018 | M | 11,891 | $62.14 | A | 87,893 | D | |
| Common StockF5 | Jun 14, 2018 | D | 7,920 | $93.30 | D | 79,973 | D | |
| Common Stock | Jun 14, 2018 | M | 11,880 | $75.72 | A | 91,853 | D | |
| Common StockF6 | Jun 14, 2018 | D | 9,642 | $93.30 | D | 82,211 | D | |
| Common StockF7 | Jun 14, 2018 | F | 5,280 | $93.30 | D | 76,931 | D | |
| Common Stock | Jun 14, 2018 | M | 1,886 | $53.00 | A | 78,817 | D | |
| Common Stock | Jun 14, 2018 | M | 2,000 | $49.66 | A | 80,817 | D | |
| Common Stock | Jun 14, 2018 | M | 1,466 | $68.18 | A | 82,283 | D | |
| Common Stock | Jun 14, 2018 | M | 1,300 | $75.32 | A | 83,583 | D | |
| Common Stock | Jun 14, 2018 | M | 1,609 | $62.14 | A | 85,192 | D | |
| Common Stock | Jun 14, 2018 | M | 1,320 | $75.72 | A | 86,512 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightF8 | $53.00 | Jun 14, 2018 | M | 5,114 | D | — | Nov 18, 2019 | Common Stock | 5,114 | 0 | D |
| Stock Appreciation RightF9 | $49.66 | Jun 14, 2018 | M | 4,000 | D | — | Nov 17, 2020 | Common Stock | 4,000 | 0 | D |
| Stock Appreciation RightF10 | $68.18 | Jun 14, 2018 | M | 3,534 | D | — | Aug 18, 2021 | Common Stock | 3,534 | 0 | D |
| Stock Appreciation RightF11 | $75.32 | Jun 14, 2018 | M | 3,950 | D | — | Aug 13, 2022 | Common Stock | 3,950 | 0 | D |
| Stock Appreciation RightF12 | $62.14 | Jun 14, 2018 | M | 11,891 | D | — | Aug 27, 2023 | Common Stock | 11,891 | 0 | D |
| Stock Appreciation RightF13 | $75.72 | Jun 14, 2018 | M | 11,880 | D | — | Aug 26, 2024 | Common Stock | 11,880 | 0 | D |
| Stock Options (Right to buy)F8 | $53.00 | Jun 14, 2018 | M | 1,886 | D | — | Nov 18, 2019 | Common Stock | 1,886 | 0 | D |
| Stock Options (Right to buy)F9 | $49.66 | Jun 14, 2018 | M | 2,000 | D | — | Nov 17, 2020 | Common Stock | 2,000 | 0 | D |
| Stock Options (Right to buy)F10 | $68.18 | Jun 14, 2018 | M | 1,466 | D | — | Aug 18, 2021 | Common Stock | 1,466 | 0 | D |
| Stock Options (Right to buy)F11 | $75.32 | Jun 14, 2018 | M | 1,300 | D | — | Aug 13, 2022 | Common Stock | 1,300 | 0 | D |
| Stock Options (Right to buy)F12 | $62.14 | Jun 14, 2018 | M | 1,609 | D | — | Aug 27, 2023 | Common Stock | 1,609 | 0 | D |
| Stock Options (Right to buy)F13 | $75.72 | Jun 14, 2018 | M | 1,320 | D | — | Aug 26, 2024 | Common Stock | 1,320 | 0 | D |
Explanation of responses
- F1Represents the difference between the number of SARs exercised (5,114) and the number of shares issuable as a result of the exercise (2,209).
- F10One-third vests annually over three years beginning on August 18, 2012.
- F11One-third vests annually over three years beginning on August 13, 2013.
- F12One-third vests annually over three years beginning on August 27, 2014.
- F13One-third vests annually over three years beginning on August 26, 2015.
- F2Represents the difference between the number of SARs exercised (4,000) and the number of shares issuable as a result of the exercise (1,871).
- F3Represents the difference between the number of SARs exercised (3,534) and the number of shares issuable as a result of the exercise (951).
- F4Represents the difference between the number of SARs exercised (3,950) and the number of shares issuable as a result of the exercise (761).
- F5Represents the difference between the number of SARs exercised (11,891) and the number of shares issuable as a result of the exercise (3,971).
- F6Represents the difference between the number of SARs exercised (11,880) and the number of shares issuable as a result of the exercise (2,238).
- F7Represents shares withheld to satisfy taxes; no shares were sold.
- F8One-third vests annually over three years beginning on November 18, 2010.
- F9One-third vests annually over three years beginning on November 17, 2011.