0001011034-16-000159.txt : 20160504 0001011034-16-000159.hdr.sgml : 20160504 20160504123510 ACCESSION NUMBER: 0001011034-16-000159 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160502 FILED AS OF DATE: 20160504 DATE AS OF CHANGE: 20160504 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-13627 FILM NUMBER: 161618282 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/A 1 primary_doc.xml PRIMARY DOCUMENT X0306 4/A 2016-05-02 2016-02-16 0 0001011509 Golden Minerals Co AUMN 0001520861 Sentient Global Resources Fund IV, L.P. LANDMARK SQUARE, 1ST FL., 64 EARTH CLOSE WEST BAY BEACH SOUTH; PO BOX 10795 GEORGE TOWN, GRAND CAYMAN E9 KY1-1107 CAYMAN ISLANDS 0 0 1 0 Common Stock 33638944 D Warrants 5.09 2016-05-02 4 J 0 682897 0 A 2013-03-20 2017-09-19 Common Stock 682897 682897 D Warrants 5.09 2016-05-02 4 J 0 119352 0 A 2014-09-10 2017-09-19 Common Stock 119352 119352 D Warrants 0.91 2016-05-02 4 J 0 2900000 0 A 2015-03-11 2019-09-10 Common Stock 2900000 2900000 D Warrants 5.09 2016-05-02 4 J 0 225441 0 A 2016-01-19 2017-09-19 Common Stock 225441 225441 D Convertible Note 0.29 2016-05-02 4 J 0 4137931 5000000 A 2016-01-19 2016-10-27 Common Stock 4137931 4137931 D Warrants 5.09 2016-05-02 4 J 0 102182 0 A 2016-02-11 2017-09-19 Common Stock 102182 102182 D Pursuant to an Agreement Regarding Warrants Exercise and Note Conversion dated May 2, 2016 between the Company and the Reporting Person (the "Agreement"), Reporting Person has agreed not to exercise any Warrants or Conversion Rights under the Convertible Note dated October 27, 2015 until the earlier of (i) July 19, 2016, or (ii) the date on which the Company shareholders approve an increase of the Company's authorized Common Stock from 100,000,000 to 200,000,000 shares and the amendment to the Company's Amended and Restated Certificate of Incorporation is filed and accepted by the Delaware Secretary of State. If the Company's proposed sale of Common Stock and Warrants (the "Financing") has not closed on or before May 9, 2016, the Agreement shall terminate and the restrictions of Reporting Person's right to exercise Warrants and Conversion Rights under the Note shall also terminate. Reflects exercise price resulting from anti-dilution adjustments triggered by partial exercise of Convertible Note on February 11, 2016. If consummated, the Financing is expected to trigger further anti-dilution adjustments to the Warrant exercise price. Assumes the highest conversion price of $0.29, which is 90% of the 15 day VWAP as of the date of issuance. Effective February 11, 2016, the Reporting Person converted $3,874,416 in principal and $132,772 in accrued and unpaid interest under the Convertible Note into an aggregate of 23,355,000 shares of Common Stock. As a result, the remaining outstanding principal balance and accrued unpaid interest due under the Convertible Note as of the date of this Report is approximately $1.2 million. 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. If consummated, the Financing is expected to trigger further anti-dilution adjustments to the Warrant exercise price. /s/ Andrew Pullar 2016-05-04