0001140361-15-034206.txt : 20150902 0001140361-15-034206.hdr.sgml : 20150902 20150902161722 ACCESSION NUMBER: 0001140361-15-034206 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150901 FILED AS OF DATE: 20150902 DATE AS OF CHANGE: 20150902 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: Clevenger Jeffrey G CENTRAL INDEX KEY: 0001305268 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13627 FILM NUMBER: 151089762 MAIL ADDRESS: STREET 1: 1700 LINCOLN STREET STREET 2: SUITE 3050 CITY: DENVER STATE: CO ZIP: 80203 4 1 doc1.xml FORM 4 X0306 4 2015-09-01 0 0001011509 Golden Minerals Co AUMN 0001305268 Clevenger Jeffrey G 350 INDIANA STREET SUITE 800 GOLDEN CO 80401 1 0 0 0 Common Stock 3200 I By spouse Common Stock 2015-09-01 4 S 0 60000 .3167 D 364806 D Common Stock 2015-09-01 4 M 0 172500 A 537306 D Restricted Stock Units 2015-09-01 4 A 0 30000 0 A Common Stock 30000 30000 D KELTIP Units 2015-09-01 4 M 0 172500 0 D Common Stock 172500 0 D The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. These shares were sold pursuant to a Rule 10b5-1 plan entered into in March 2014 for the purpose of funding tax liabilities associated with the vesting of restricted stock issued pursuant to the Issuer's Amended and Restated 2009 Equity Incentive plan. Includes zero shares of restricted common stock that have not yet vested and were granted pursuant to the Issuer's Amended and Restated 2009 Equity Incentive Plan. Settlement of the December 13, 2013 grant of 172,500 KELTIP units. Settlement is effective on 9/1/2015, the date on which Mr. Clevenger ceased to serve as an officer or employee of the Issuer. KELTIP Units were granted pursuant to the Issuer's 2013 Key Employee Long-Term Incentive Plan. KELTIP units convert into common stock on a one-for-one basis. Each Restricted Stock Unit represents a contingent right to receive one share of Golden Minerals Company common stock. The Restricted Stock Units will vest on the first to occur of (i) the first anniversary of the grant date and (ii) a Change of Control as defined in Golden Minerals Company's Amended and Restated 2009 Equity Incentive Plan. Shares of common stock represented by vested Restricted Stock Units will be issued to the reporting person effective on the date on which the reporting person ceases to be a member of the Board of Directors of Golden Minerals Company. Robert P. Vogels for Jeffrey G. Clevenger Pursuant to Power of Attorney 2015-09-02