FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 08/25/2004 |
3. Issuer Name and Ticker or Trading Symbol
NEWMONT MINING CORP /DE/ [ NEM ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) 07/28/2004 |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, $1.60 par value | 3,804(16) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | (1)(19) | 11/15/2005 | Common Stock | 470 | $40.44 | D | |
Stock Option (right to buy) | (2) | 05/13/2006 | Common Stock | 625 | $58.94 | D | |
Stock Option (right to buy) | (3) | 11/20/2006 | Common Stock | 1,560 | $51.94 | D | |
Stock Option (right to buy) | (4) | 11/18/2007 | Common Stock | 500 | $31.75 | D | |
Stock Option (right to buy) | (5) | 05/19/2008 | Common Stock | 750 | $28.32 | D | |
Stock Option (right to buy) | (6) | 11/17/2008 | Common Stock | 2,000 | $21.69 | D | |
Stock Option (right to buy) | (7) | 11/17/2009 | Common Stock | 2,000 | $22.47 | D | |
Stock Option (right to buy) | (8) | 05/16/2010 | Common Stock | 2,000 | $25.44 | D | |
Stock Option (right to buy) | (9) | 05/15/2011 | Common Stock | 1,350 | $21.03 | D | |
Stock Option (right to buy) | (10) | 11/12/2011 | Common Stock | 1,350 | $23.67 | D | |
Stock Option (right to buy) | (11) | 05/14/2012 | Common Stock | 1,350 | $28.56 | D | |
Stock Option (right to buy) | 11/20/2003(12) | 11/20/2012 | Common Stock | 2,500 | $23.99 | D | |
Stock Option (right to buy) | 05/06/2004(13) | 05/06/2013 | Common Stock | 3,750 | $28.11 | D | |
Stock Option (right to buy) | 12/02/2004(14) | 12/02/2013 | Common Stock | 7,500 | $49.72 | D | |
Stock Option (right to buy) | 04/27/2005(15) | 04/27/2014 | Common Stock | 3,750 | $40.43 | D | |
Phantom Stock(17) | (18) | (18) | Common Stock | 345 | $40.47 | D |
Explanation of Responses: |
1. This option vested in two equal annual installments beginning on November 15, 1996. |
2. This option vested in two equal annual installments beginning on May 13, 1997. |
3. This option vested in two equal annual installments beginning on November 20, 1997. |
4. This option vested in two equal annual installments beginning on November 18, 1998. |
5. This option vested in two equal annual installments beginning on May 19, 1999. |
6. This option vested in two equal annual installments beginning on November 17, 1999. |
7. This option vested in two equal annual installments beginning on November 17, 2000. |
8. This option vested in two equal annual installments beginning on May 16, 2001. |
9. This option vested in two equal annual installments beginning on May 15, 2002 |
10. This option vested in two equal annual installments beginning on November 12, 2002. |
11. This option vested in two equal annual installments beginning on May 14, 2003. |
12. The option became exercisable as to 625 shares on November 20, 2003 and becomes exercisable as to the remaining 1,875 shares in equal annuals installments on November 20, 2004, November 20, 2005 and November 20, 2006. |
13. The option became exercisable as to 1,249 shares on May 6, 2004 and becomes exercisable as to the remaining 2,501 shares in equal annual installments on May 6, 2005 and May 6, 2006. |
14. The option vests in three equal annual installments beginning December 2, 2004. |
15. The option vests in three equal annual installments beginning on April 27, 2005. |
16. As of July 31, 2004 the reporting person held 502 shares of Newmont Mining Corporation common stock in his 401-K Plan. |
17. Converted on a 1-for-1 basis. |
18. Shares of phantom stock are payable in cash following termination of the reporting person's employment with the Issuer. |
19. Russell D. Ball has executed a power of attorney, a copy of which is attached, that authorizes Ardis Young to sign this Form 3 on his behalf. |
Remarks: |
Ardis Young, Assistant Secretary, as attorney-in-fact | 08/25/2004 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |