ENTRÉE GOLD INC.
(Exact Name of Registrant as Specified in its Charter)
British Columbia
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1040
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N/A
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(Province or other jurisdiction of incorporation or organization)
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(Primary Standard Industrial Classification Code)
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(I.R.S. Employer Identification No.)
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Suite 1201 – 1166 Alberni Street
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Vancouver, British Columbia, Canada V6E 3Z3
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( 604) 687-4777
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(Address and Telephone Number of Registrant’s Principal Executive
Offices)
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National Registered Agents, Inc.
1090 Vermont Avenue NW, Suite 910
Washington, DC 20005
(888) 505-5229
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Copies to:
Kenneth G. Sam
Dorsey & Whitney LLP
1400 Wewatta Street, Suite 400
Denver, Colorado 80202
(303) 629-3400
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(Name, address (including zip code) and telephone number (including area code) of agent for service in the United States)
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Securities registered or to be registered pursuant to Section 12(b)
of the Act:
Title of Each Class:
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Name of Each Exchange On Which Registered:
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Common Shares, no par value
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NYSE MKT
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Securities registered or to be registered pursuant to Section 12(g) of the Act:
N/A
Securities for which there is a reporting obligation
pursuant to Section 15(d) of the Act:
N/A
For annual reports,
indicate by check mark the information filed with this form:
☒
Annual Information
Form ☒ Audited Annual Financial Statements
Indicate the number
of outstanding shares of each of the issuer's classes of capital or common stock as of the close of the period covered by the
annual report: As at December 31, 2016, 153,045,408 common shares of the Registrant were issued and outstanding.
Indicate
by check mark whether the Registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Exchange Act
during the preceding 12 months (or for such shorter period that the Registrant was required to file such reports) and (2) has
been subject to such filing requirements for the past 90 days. ☒ Yes ☐ No
Indicate
by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive
Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the
preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). ☒ Yes ☐ No
EXPLANATORY NOTE
Entrée Gold Inc. (the “
Company
” or the
“
Registrant
”) is a Canadian issuer eligible to file its annual report pursuant to Section 13 of the Securities
Exchange Act of 1934, as amended (the “
Exchange Act
”), on Form 40-F pursuant to the multi-jurisdictional disclosure
system of the Exchange Act. The Company is a “foreign private issuer” as defined in Rule 3b-4 under the Exchange
Act. The equity securities of the Company are accordingly exempt from Sections 14(a), 14(b), 14(c), 14(f) and 16 of the Exchange
Act pursuant to Rule 3a12-3.
FORWARD-LOOKING STATEMENTS
This annual report on Form 40-F
and the exhibits attached hereto contain “forward-looking statements” within the meaning of the Private Securities
Litigation Reform Act of 1995. Such forward-looking statements concern the Company’s anticipated results and developments
in the Company’s operations in future periods, planned exploration and development of its properties, plans related to its
business and other matters that may occur in the future. These statements relate to analyses and other information that are based
on forecasts of future results, estimates of amounts not yet determinable and assumptions of management.
Forward-looking statements include,
but are not limited to, the future price of copper, gold and molybdenum, the estimation of mineral reserves and resources, the
realization of mineral reserve and resource estimates, the timing and amount of estimated future production, costs of production,
capital expenditures, cost and timing of the development of new deposits, success of exploration activities, permitting time lines,
currency fluctuations, requirements for additional capital, government regulation of mining operations, environmental risks, unanticipated
reclamation expenses, title disputes or claims and limitations on insurance coverage. In certain cases, forward-looking statements
can be identified by the use of words such as “plans”, “expects” or “does not expect”, “is
expected”, “budget”, “scheduled”, “estimates”, “forecasts”, “intends”,
“anticipates”, or “does not anticipate” or “believes” or variations of such words and phrases
or statements that certain actions, events or results “may”, “could”, “would”, “might”
or “will be taken”, “occur” or “be achieved”. While the Company has based these forward-looking
statements on its expectations about future events as at the date that such statements were prepared, the forward-looking statements
are not a guarantee of the Company’s future performance and are subject to risks, uncertainties, assumptions and other factors
which could cause actual results to differ materially from future results expressed or implied by such forward-looking statements.
Such factors
and assumptions include, among others, risks related to international operations, including legal and political risk in Mongolia;
risks associated with changes in the attitudes of governments to foreign investment; risks associated with the conduct of joint
ventures; discrepancies between actual and anticipated production, mineral reserves and resources and metallurgical recoveries;
global financial conditions; changes in project parameters as plans continue to be refined; inability to upgrade Inferred mineral
resources to Indicated or Measured mineral resources; inability to convert mineral resources to mineral reserves; conclusions of
economic evaluations; future prices of copper, gold, silver and molybdenum; failure of plant, equipment or processes to operate
as anticipated; accidents, labour disputes and other risks of the mining industry; delays in obtaining government approvals, permits
or licences or financing or in the completion of development or construction activities; environmental risks; title disputes; limitations
on insurance coverage, as well as those factors discussed in the section entitled “Risk Factors” in the Company’s
Annual Information Form (“
AIF
”), filed as
Exhibit 99.1
to this annual
report on Form 40-F and incorporated herein by reference.
Although the Company has attempted
to identify important factors that could cause actual actions, events or results to differ materially from those described in forward-looking
statements, there may be other factors that cause actions, events or results not to be as anticipated, estimated or intended. There
can be no assurance that forward-looking statements will prove to be accurate, as actual results and future events could differ
materially from those anticipated in such statements. Except as required under applicable securities legislation, the Company undertakes
no obligation to publicly update or revise forward-looking statements, whether as a result of new information, future events, or
otherwise. Accordingly, readers should not place undue reliance on forward-looking statements.
NOTE
TO UNITED STATES READERS-
DIFFERENCES IN UNITED STATES AND CANADIAN REPORTING PRACTICES
The Company is permitted, under the multi-jurisdictional disclosure
system adopted by the United States Securities and Exchange Commission (the “
SEC
” or “
Commission
”),
to prepare this annual report in accordance with Canadian disclosure requirements, which differ from those of the United States.
RESOURCE AND RESERVE ESTIMATES
The Company’s AIF, filed as
Exhibit 99.1
to this annual
report on Form 40-F and management’s discussion and analysis for the fiscal year ended December 31, 2016 filed as
Exhibit
99.3
to this annual report on Form 40-F have been prepared in accordance with the requirements of the securities laws in effect
in Canada, which differ from the requirements of United States securities laws. The terms “mineral reserve”, “Proven
mineral reserve” and “Probable mineral reserve” are Canadian mining terms as defined in accordance with Canadian
National Instrument 43-101 – Standards of Disclosure for Mineral Projects (“
NI 43-101
”) and the Canadian
Institute of Mining, Metallurgy and Petroleum (the “
CIM
”) -
CIM Definition Standards on Mineral Resources
and Mineral Reserves
, adopted by the CIM Council, as amended. These definitions differ from the definitions in SEC Industry
Guide 7 under the United States Securities Act of 1933, as amended (the “
Securities Act
”). Under SEC Industry
Guide 7 standards, a “final” or “bankable” Feasibility study is required to report reserves, the three-year
historical average price is used in any reserve or cash flow analysis to designate reserves and the primary environmental analysis
or report must be filed with the appropriate governmental authority.
In addition, the terms “mineral resource”, “Measured
mineral resource”, “Indicated mineral resource” and “Inferred mineral resource” are defined in and
required to be disclosed by NI 43-101; however, these terms are not defined terms under SEC Industry Guide 7 and are normally not
permitted to be used in reports and registration statements filed with the SEC. Investors are cautioned not to assume that any
part or all of mineral deposits in these categories will ever be converted into reserves. “Inferred mineral resources”
have a great amount of uncertainty as to their existence, and great uncertainty as to their economic and legal feasibility. It
cannot be assumed that all or any part of an Inferred mineral resource will ever be upgraded to a higher category. Under Canadian
rules, estimates of Inferred mineral resources may not form the basis of Feasibility or Pre-Feasibility studies, except in rare
cases. Investors are cautioned not to assume that all or any part of an Inferred mineral resource exists or is economically or
legally mineable. Disclosure of “contained ounces” in a resource is permitted disclosure under Canadian regulations;
however, the SEC normally only permits issuers to report mineralization that does not constitute “reserves” by SEC
Industry Guide 7 standards as in place tonnage and grade without reference to unit measures.
Accordingly, information contained in this annual report
and the documents incorporated by reference herein contain descriptions of the Company’s mineral deposits that may not be
comparable to similar information made public by U.S. companies subject to the reporting and disclosure requirements under the
United States federal securities laws and the rules and regulations thereunder.
CURRENCY
Unless otherwise indicated, all dollar amounts in this annual report
on Form 40-F are in United States dollars. The exchange rate of Canadian dollars into United States dollars, on December 30, 2016,
based upon the closing rate of exchange as quoted by the Bank of Canada was U.S.$1.00 = Cdn.$1.3427.
ANNUAL INFORMATION FORM
The Company’s AIF for the fiscal year ended December 31, 2016
is filed as
Exhibit 99.1
and incorporated by reference in this annual report on Form 40-F.
AUDITED ANNUAL FINANCIAL STATEMENTS
The audited consolidated financial statements of the Company for
the years ended December 31, 2016 and 2015, including the report of the independent auditor with respect thereto, are filed as
Exhibit 99.2
and incorporated by reference in this annual report on Form 40-F.
MANAGEMENT’S DISCUSSION AND ANALYSIS
The Company’s management’s discussion and analysis (“
MD&A
”)
is filed as
Exhibit 99.3
and incorporated by reference in this annual report on Form 40-F.
TAX MATTERS
Purchasing, holding, or disposing of the Company’s securities
may have tax consequences under the laws of the United States and Canada that are not described in this annual report on Form 40-F.
CONTROLS AND PROCEDURES
Disclosure Controls and Procedures
At the end of the period covered by this annual report for the fiscal
year ended December 31, 2016, an evaluation was carried out under the supervision of, and with the participation of, the Company’s
management, including its Chief Executive Officer (“
CEO
”) and Chief Financial Officer (“
CFO
”),
of the effectiveness of the design and operation of the Company’s disclosure controls and procedures (as defined in Rule
13a-15(e) and 15d-15(e) of the Exchange Act). Based upon that evaluation, the Company’s CEO and CFO have concluded that the
disclosure controls and procedures were effective to give reasonable assurance that the information required to be disclosed by
the Company in reports that it files or submits under the Exchange Act is (i) recorded, processed, summarized and reported, within
the time periods specified in the SEC’s rules and forms, and (ii) accumulated and communicated to management, including its
principal executive and principal financial officers, or persons performing similar functions, as appropriate to allow timely decisions
regarding required disclosure.
Management’s Report on Internal Control over Financial Reporting
The Company's management, including the Company's CEO and CFO, is
responsible for establishing and maintaining adequate internal control over the Company's internal control over financial reporting,
as such term is defined in Rules 13a-15(f) and 15d-15(f) under the U.S. Exchange Act. The Company's internal control over
financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and
the preparation of consolidated financial statements for external purposes in accordance with U.S. GAAP. The Company's internal
control over financial reporting includes policies and procedures that: pertain to the maintenance of records that, in reasonable
detail accurately and fairly reflect the transactions and disposition of assets; provide reasonable assurance that transactions
are recorded as necessary to permit preparation of the consolidated financial statements in accordance with U.S. GAAP and that
receipts and expenditures are being made only in accordance with authorization of management and directors of the Company; and
provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of assets
that could have a material effect on the consolidated financial statements.
Because of their inherent limitations, internal control over financial
reporting can provide only reasonable assurance and may not prevent or detect misstatements. Furthermore, projections of any evaluation
of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions,
or that the degree of compliance with the policies or procedures may deteriorate.
The Company's management (with the participation of the CEO and
the CFO) conducted an evaluation of the effectiveness of the Company's internal control over financial reporting as of December
31, 2016. This evaluation was based on the criteria set forth in the 2013 Internal Control-Integrated Framework issued
by the Committee of Sponsoring Organizations of the Treadway Commission. Based on its assessment, management has concluded that
the Company's internal control over financial reporting was effective as at December 31, 2016, and management's assessment did
not identify any material weaknesses.
Auditor’s Attestation Report
This annual report does not include an attestation report of the
Company’s registered public accounting firm regarding internal control over financial reporting. Management's report was
not subject to attestation by the Company’s registered public accounting firm pursuant to the Dodd-Frank Wall Street Reform
and Consumer Protection Act of 2010 (the “
Dodd-Frank Act
”), which permits the Company to provide only management's
report in this annual report. The Dodd-Frank Act permits a “non-accelerated filer” to provide only management's report
on internal control over financial reporting in an annual report and omit an attestation report of the issuer's registered public
accounting firm regarding management's report on internal control over financial reporting.
Changes in Internal Control over Financial Reporting
There have been no changes in the Company’s internal control
over financial reporting during its fiscal year ended December 31, 2016 that have materially affected, or are reasonably likely
to materially affect, the Company’s internal control over financial reporting.
CORPORATE GOVERNANCE
The Company’s Board of Directors (the “
Board
”)
is responsible for the Company’s Corporate Governance policies and has a separately designated standing Compensation Committee,
Corporate Governance and Nominating Committee, Audit Committee, and Technical Committee. The Board has determined that all the
members of the Compensation Committee, Corporate Governance and Nominating Committee, and Audit Committee are independent, based
on the criteria for independence and unrelatedness prescribed by section 803A of the NYSE MKT Company Guide.
Compensation Committee
The primary objective of the Compensation Committee is to discharge
the Board’s responsibilities relating to compensation and benefits of the executive officers and directors of the Company
to ensure that such compensation realistically reflects the responsibilities and risks of such positions. In addition, the Compensation
Committee makes recommendations for grants made under the Company’s Stock Option Plan, determines the recipients of, and
the nature and size of share compensation awards granted from time to time, and determines any bonuses to be awarded from time
to time. The Company’s Compensation Committee is comprised of Mark Bailey (chair), Alan Edwards and James Harris. The Company’s
CEO cannot be present during the Compensation Committee’s deliberations or vote.
Corporate Governance and Nominating Committee
The Corporate Governance and Nominating Committee: (1) assists the
Board, on an annual basis, by identifying individuals qualified to become Board members, and recommends to the Board the director
nominees for the next annual meeting of shareholders; (2) assists the Board in the event of any vacancy on the Board by identifying
individuals qualified to become Board members, and recommends to the Board qualified individuals to fill any such vacancy; and
(3) recommends to the Board, on an annual basis, director nominees for each Board committee. The members of the Corporate Governance
and Nominating Committee are James L. Harris (chair), Alan Edwards and Anna Stylianides.
Technical Committee
The Technical Committee consists of Alan Edwards (chair), Mark Bailey
and Stephen Scott. In the judgement of the Board, Mr. Edwards and Mr. Bailey are independent directors. Mr. Scott is not independent,
by virtue of the fact that he is the President and Chief Executive Officer of the Company. The mandate of the Technical Committee
is to exercise all the powers of the Board (except those powers specifically reserved by law to the Board itself) during intervals
between meetings of the Board pertaining to the Company’s mining properties, programs, budgets, and other related activities
and the administration thereof.
AUDIT COMMITTEE
The Company has a separately designated standing Audit Committee
established in accordance with Section 3(a)(58)(A) of the Exchange Act. The Company’s Audit Committee is comprised of Anna
Stylianides (chair), Mark Bailey and James Harris.
In the opinion of the Company’s Board, all members of the
Audit Committee are independent (as determined under Rule 10A-3 of the Exchange Act and section 803A of the NYSE MKT Company Guide)
and are financially literate. Additionally, the Audit Committee meets the composition requirements set forth by section 803(B)(2)
of the NYSE MKT Company Guide.
The members of the Audit Committee are appointed or reappointed
on an annual basis by the Board.
The Audit Committee meets with the President, the CEO, the CFO and
the Company’s independent auditors to review and inquire into matters affecting financial reporting, the system of internal
accounting and financial controls, as well as audit procedures and audit plans. The Audit Committee also recommends to the Board
which independent registered public auditing firm should be appointed by the Company. In addition, the Audit Committee reviews
and recommends to the Board for approval the annual financial statements, the MD&A, and undertakes other activities required
by exchanges on which the Company’s securities are listed and by regulatory authorities to which the Company is held responsible.
The full text of the Company’s Audit Committee Charter is
attached to the Company’s AIF, filed as an appendix and incorporated by reference in this annual report on Form 40-F.
Audit Committee Financial Expert
The Company’s Board has determined that Anna Stylianides qualifies
as a financial expert (as defined in Item 407(d)(5) of Regulation S-K under the Exchange Act), is financially sophisticated, as
determined in accordance with Section 803B(2)(iii) of the NYSE MKT Company Guide, and is independent (as determined under Exchange
Act Rule 10A-3 and section 803A of the NYSE MKT Company Guide).
PRINCIPAL ACCOUNTING FEES AND SERVICES – INDEPENDENT AUDITORS
The following table shows the aggregate fees billed to the Company
by Davidson & Company LLP and its affiliates, Chartered Accountants, the Company’s independent registered public auditing
firm, in each of the last two years.
|
2016 (US$)
|
2015 (US$)
|
Audit Fees
(1)
|
$37,820
|
$36,127
|
Audit Related Fees
(2)
|
$Nil
|
$11,778
|
Tax Fees
(3)
|
$Nil
|
$Nil
|
All other fees
(4)
|
$Nil
|
$10,838
|
Total:
|
$37,820
|
$58,743
|
(1)
|
|
Audits of the Company’s consolidated financial statements, meetings with the
Audit Committee and management with respect of quarterly filings, consulting and accounting standards and transactions, issuance
of consent in connection with Canadian and United States securities filings.
|
(2)
|
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Audit-related fees were paid for assurance and related services by the auditors that
were reasonably related to the performance of the audit or the review of the Company’s quarterly financial statements that
are not included in
Audit Fees
.
|
(3)
|
|
Tax compliance, taxation advice and tax planning for international operations.
|
(4)
|
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Surplus calculations for Entrée LLC for the years 2003 to 2014.
|
PRE-APPROVAL OF AUDIT AND NON-AUDIT SERVICES PROVIDED BY
INDEPENDENT AUDITORS
The Audit Committee pre-approves all audit services to be provided
to the Company by its independent auditors. Non-audit services that are prohibited to be provided to the Company by its independent
auditors may not be pre-approved. In addition, prior to the granting of any pre-approval, the Audit Committee must be satisfied
that the performance of the services in question will not compromise the independence of the independent auditors. All non-audit
services performed by the Company’s auditor for the fiscal year ended December 31, 2016 were pre-approved by the Audit Committee
of the Company. No non-audit services were approved pursuant to the
de minimis
exemption to the pre-approval requirement.
OFF-BALANCE SHEET TRANSACTIONS
The Company does not have any off-balance sheet financing arrangements
or relationships with unconsolidated special purpose entities.
CODE OF ETHICS
The Company has adopted a Code of Ethics (the “
Code
”)
for the Company’s Chief Executive Officer, Chief Financial Officer and Controller.
A copy of the Code is available to any person, without charge, by
written request to the Company at its principal executive office, located at Suite 1201 – 1166 Alberni Street, Vancouver,
British Columbia, Canada V6E 3Z3. The Code is also available on the Company’s website at www.entreegold.com. The Code meets
the requirements for a “code of ethics” within the meaning of that term in General Instruction 9(b) of the Form 40-F.
All amendments to the Code, and all waivers of the Code with respect
to any of the officers covered by it, will be posted on the Company’s website, www.entreegold.com within five business days
of the amendment or waiver and provided in print to any shareholder who requests them. On May 19, 2016, the Company updated the
Code. However, during the fiscal year ended December 31, 2016, the Company did not substantively amend, waive or implicitly waive
any provision of the Code with respect to any of the directors, executive officers or employees subject to it.
CONTRACTUAL OBLIGATIONS
The required tabular disclosure is included under the heading “Liquidity
and Capital Resources – Contractual Obligations” in the Company’s MD&A for the fiscal year ended December
31, 2016, filed as Exhibit 99.3 to this annual report on Form 40-F and is incorporated herein by reference.
NOTICES PURSUANT TO REGULATION BTR
There were no notices required by Rule 104 of Regulation BTR that
the Registrant sent during the year ended December 31, 2016 concerning any equity security subject to a blackout period under Rule
101 of Regulation BTR.
NYSE MKT CORPORATE GOVERNANCE
The Company’s common shares are listed on the NYSE
MKT. Section 110 of the NYSE MKT Company Guide permits the NYSE MKT to consider the laws, customs and practices of foreign issuers
in relaxing certain NYSE MKT listing criteria, and to grant exemptions from NYSE MKT listing criteria based on these considerations.
A company seeking relief under these provisions is required to provide written certification from independent local counsel that
the non-complying practice is not prohibited by home country law. A description of the significant ways in which the Company’s
governance practices differ from those followed by domestic companies pursuant to NYSE MKT standards is as follows:
Shareholder Meeting Quorum Requirement
: The NYSE
MKT minimum quorum requirement for a shareholder meeting is one-third of the outstanding shares of common stock. In addition, a
company listed on the NYSE MKT is required to state its quorum requirement in its bylaws. The Company’s quorum requirement
is set forth in its Memorandum and Articles. A quorum for a meeting of members of the Company is two persons who are, or who represent
by proxy, shareholders who, in the aggregate, hold at least 5% of the shares entitled to be voted at the meeting.
Proxy Delivery Requirement
: The NYSE MKT requires
the solicitation of proxies and delivery of proxy statements for all shareholder meetings, and requires that these proxies shall
be solicited pursuant to a proxy statement that conforms to SEC proxy rules. The Company is a “foreign private issuer”
as defined in Rule 3b-4 under the Exchange Act, and the equity securities of the Company are accordingly exempt from the proxy
rules set forth in Sections 14(a), 14(b), 14(c) and 14(f) of the Exchange Act. The Company solicits proxies in accordance with
applicable rules and regulations in Canada.
Shareholder Approval of Certain Transactions
: The
NYSE MKT Company Guide requires shareholder approval in connection with the establishment of an equity compensation arrangement
pursuant to which options or stock may be acquired by officers, directors, employees, or consultants of a company. The Company
will follow the shareholder approval requirements of the Toronto Stock Exchange in connection with the establishment of equity
compensation arrangements pursuant to which its officers, directors, employees, or consultants may acquire options or common shares.
Compensation Committee Requirements:
The
NYSE MKT Company Guide requires that additional independence criteria be applied to each member of the Compensation Committee.
The NYSE MKT Company Guide also mandates that the Compensation Committee must have the authority to hire compensation consultants,
independent legal counsel and other compensation advisors and exercise the sole responsibility to oversee the work of any compensation
advisors retained to advise the Compensation Committee. In addition, before engaging a compensation advisor, the Compensation
Committee must consider at least six factors that could potentially impact compensation advisor independence. The Company
follows Canadian Securities Administrators and Toronto Stock Exchange requirements for Compensation Committee charters, independence
and authority. The Compensation Committee's Charter includes a requirement that each member of the Compensation Committee
be independent and that the Compensation Committee have the authority to retain outside advisors and determine the extent of funding
necessary for payment of consultants.
The foregoing are consistent with
the laws, customs and practices in Canada.
In addition, the Company may from time-to-time seek relief from
NYSE MKT corporate governance requirements on specific transactions under Section 110 of the NYSE MKT Company Guide by providing
written certification from independent local counsel that the non-complying practice is not prohibited by the Company’s home
country law, in which case, the Company shall make the disclosure of such transactions available on the Company’s website
at www.entreegold.com. Information contained on its website is not part of this annual report.
MINE SAFETY DISCLOSURE
Pursuant to Section 1503(a) of the Dodd-Frank Act, issuers that
are operators, or that have a subsidiary that is an operator, of a coal or other mine in the United States are required to disclose
in their periodic reports filed with the SEC information regarding specified health and safety violations, orders and citations,
related assessments and legal actions, and mining-related fatalities. During the fiscal year ended December 31, 2016, the Company
had no such specified health and safety violations, orders or citations, related assessments or legal actions, mining-related fatalities,
or similar events in relation to the Company’s United States operations requiring disclosure pursuant to Section 1503(a)
of the Dodd-Frank Act.
UNDERTAKING
The Company undertakes to make available, in person or by telephone,
representatives to respond to inquiries made by the Commission staff, and to furnish promptly, when requested to do so by the Commission
staff, information relating to: the securities registered pursuant to Form 40-F; the securities in relation to which the obligation
to file an annual report on Form 40-F arises; or transactions in said securities.
CONSENT TO SERVICE OF PROCESS
The Company filed an Appointment of Agent for
Service of Process and Undertaking on Form F-X with the SEC on Form 10-SB on October 12, 2004, with respect to the class of securities
in relation to which the obligation to file this annual report on Form 40-F arises.
EXHIBIT INDEX
The following exhibits have been filed as part of the annual report
on Form 40-F:
Exhibit Description
Annual Information
|
99.1.
|
Annual Information Form of the Company for the year ended December 31, 2016
|
99.2.
|
The following audited consolidated financial statements of the Company, are exhibits to and form a part of this annual report:
|
|
Independent Registered Public Accounting Firm’s Report on Consolidated Financial Statements
|
|
Consolidated Statements of Comprehensive Loss for the years ended December 31, 2016, 2015 and 2014
|
|
Consolidated Balance Sheets as of December 31, 2016 and 2015
|
|
Consolidated Statement of Stockholders’ Equity for the years ended December 31, 2016, 2015 and 2014
|
|
Consolidated Statements of Cash Flows for the years ended December 31, 2016, 2015 and 2014
|
|
Notes to Consolidated Financial Statements
|
99.3.
|
Management Discussion and Analysis for the year ended December 31, 2016
|
Certifications
|
99.4.
|
Certificate of Chief Executive Officer Pursuant to Rule 13a-14(a) of the Exchange Act
|
99.5.
|
Certificate of Chief Financial Officer Pursuant to Rule 13a-14(a) of the Exchange Act
|
99.6.
|
Certificate of Chief Executive Officer Pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
|
99.7.
|
Certificate of Chief Financial Officer Pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
|
Consents
|
99.8
|
Consent of Davidson & Company LLP, Chartered Accountants
|
99.9
|
Consent of OreWin Pty Ltd
|
99.10
|
Consent of AGP Mining Consultants
|
99.11
|
Consent of AMEC Foster Wheeler Americas Limited
|
99.12
|
Consent of Bernard Peters
|
99.13
|
Consent of Sharron Sylvester
|
99.14
|
Consent of Robert Cann
|
99.15
|
Consent of Robert Cinits
|
99.16
|
Consent of Joseph Rosaire Pierre Desautels
|
99.17
|
Consent of Peter Oshust
|
SIGNATURES
Pursuant to the requirements of the Exchange
Act, the Registrant certifies that it meets all of the requirements for filing on Form 40-F and has duly caused this annual report
to be signed on its behalf by the undersigned, thereto duly authorized.
|
ENTRÉE GOLD INC.
|
|
By:
|
/S/
Stephen
Scott
|
|
Name:
|
Stephen Scott
|
|
Title:
|
Chief Executive Officer
|
Date: March 10, 2017
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