0001011034-16-000130.txt : 20160216
0001011034-16-000130.hdr.sgml : 20160215
20160216173808
ACCESSION NUMBER: 0001011034-16-000130
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160211
FILED AS OF DATE: 20160216
DATE AS OF CHANGE: 20160216
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Golden Minerals Co
CENTRAL INDEX KEY: 0001011509
STANDARD INDUSTRIAL CLASSIFICATION: GOLD & SILVER ORES [1040]
IRS NUMBER: 841363747
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 350 INDIANA STREET, SUITE 800
CITY: GOLDEN
STATE: CO
ZIP: 80401
BUSINESS PHONE: 3038395060
MAIL ADDRESS:
STREET 1: 350 INDIANA STREET, SUITE 800
CITY: GOLDEN
STATE: CO
ZIP: 80401
FORMER COMPANY:
FORMER CONFORMED NAME: APEX SILVER MINES LTD
DATE OF NAME CHANGE: 19970825
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Sentient Global Resources Fund IV, L.P.
CENTRAL INDEX KEY: 0001520861
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13627
FILM NUMBER: 161430627
BUSINESS ADDRESS:
STREET 1: LANDMARK SQUARE, 64 EARTH CLOSE
STREET 2: WEST BAY BEACH SOUTH
CITY: GEORGE TOWN, GRAND CAYMAN
STATE: E9
ZIP: KY1-1107
BUSINESS PHONE: 345-946-0933
MAIL ADDRESS:
STREET 1: LANDMARK SQUARE, 64 EARTH CLOSE
STREET 2: WEST BAY BEACH SOUTH
CITY: GEORGE TOWN, GRAND CAYMAN
STATE: E9
ZIP: KY1-1107
4
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4
2016-02-11
0
0001011509
Golden Minerals Co
AUMN
0001520861
Sentient Global Resources Fund IV, L.P.
LANDMARK SQUARE, 64 EARTH CLOSE
WEST BAY BEACH SOUTH
GEORGE TOWN, GRAND CAYMAN
E9
KY1-1107
CAYMAN ISLANDS
0
0
1
0
Common Stock
10283944
D
Common Stock
2016-02-11
4
C
0
23355000
0.1716
A
33638944
D
Convertible Note
0.29
2016-01-19
4
P
0
17241379
5000000
A
2016-01-19
2016-10-27
Common Stock
17241379
17241379
D
Convertible Note
0.17
2016-02-11
4
C
0
23355000
4007188
D
2016-01-19
2016-10-27
Common Stock
23355000
3881324
D
Warrants
5.09
2013-03-20
2017-09-19
Common Stock
682897
682897
D
Warrants
5.09
2014-09-10
2017-09-19
Common Stock
119352
119352
D
Warrants
0.91
2015-03-11
2019-09-10
Common Stock
2900000
2900000
D
Warrants
5.09
2016-01-19
2017-09-19
Common Stock
255551
255411
D
Warrants
5.09
2016-02-11
4
J
0
102182
0
A
2016-02-11
2017-09-19
Common Stock
102182
102182
D
90% of the 15 day VWAP prior to date of conversion.
The conversion price of the convertible note will be the lower of (i) $0.29 per share (90% of the 15 day VWAP based on date of issuance), (ii) 90% of the 15 day VWAP prior to conversion date or (iii) the Antidilution Price which is the "lowest price per share for which the Company has issued or sold, following the Original Issue Date, any shares of Common Stock or Common Stock Equivalent (except (a) pursuant to warrants, options and securities convertible into Common Stock issued by the Company and outstanding on the Original Issue Date...)."
Assumes the highest conversion price of $0.29, which is 90% of the 15 day VWAP as of the date of issuance.
Shares issued on partial conversion of Convertible Note. The number acquired is more than the number of shares indicated as issuable on conversion since the conversion price was lower on the date of conversion than it was on the date the note was issued. See prior explanations.
Shares issued on partial conversion of Convertible Note. More than the number of shares indicated issuable on conversion since the conversion price was lower on the date of conversion than it was on the date the note was issued. See explanations herein.
Assumes that the amount of the Convertible Note not yet converted ($1,125,584) is converted at $0.29 per share (90% of the 15 day VWAP as of the date of issuance). As noted above, the actual conversion price cannot be determined unless and until conversion occurs. This amount does not include any accrued interest as of the date of conversion which may also be converted.
Reflects revised exercise price resulting from anti-dilution adjustments triggered by partial exercise of convertible note on February 11, 2016.
Reflects additional shares issuable upon exercise of Warrants originally issued in 2012 to give effect to anti-dilution adjustments triggered by partial exercise of convertible note on February 11, 2016.
Shares issued upon partial conversion ($3,874,416 of principal plus $132,772 of interest leaving an unpaid balance of $1,125,584) of Convertible Note.
/s/ Greg Link, Director
2016-02-16