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