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