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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Common Share Options (Right to Buy) | $ 1.17 (1) | 03/10/2014 | M | 4,938 | (2) | 09/09/2016 | Common Shares | 4,938 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CASH JOHN 10758 WEST CENTENNIAL ROAD SUITE 200 LITTLETON, CO 80127 |
See Remarks |
/s/ Penne A. Goplerud, Penne A. Goplerud pursuant to Power of Attorney | 03/12/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Price of options is expressed in Canadian dollars. Based on the rate of exchange on the transaction date (Cdn$1.00 = US$0. 90148) as reported by OANDA Corporation on its website, www.oanda.com, the U.S. dollar equivalent is $1.06. |
(2) | Options vested from this grant and became exercisable as follows: 4,898 on September 9, 2011; 10,775 on January 24, 2012; 10,775 on June 9, 2012; 10,775 on October 24, 2012; and 11,754 on March 9, 2013. |
Remarks: Vice President Regulatory Affairs, Exploration and Geology |