Statement of Changes in Beneficial Ownership (4)
December 17 2020 - 6:24PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
GARRETT DIANE R |
2. Issuer Name and Ticker or Trading Symbol
HYCROFT MINING HOLDING CORP
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HYMC
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President, CEO & Director |
(Last)
(First)
(Middle)
C/O HYCROFT MINING HOLDING CORPORATION, 8181 EAST TUFTS AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/15/2020 |
(Street)
DENVER, CO 80237
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock | 12/15/2020 | | P | | 6000 | A | $7 | 6000 | D | |
Class A Common Stock | 12/16/2020 | | P | | 17347 | A | $7.10 | 23347 | D | |
Class A Common Stock | 12/16/2020 | | P | | 2653 | A | $7.6496 | 26000 | D | |
Class A Common Stock | 12/15/2020 | | P | | 8000 | A | $7 | 8000 | I | Through Spouse's IRA |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (1) | 12/15/2020 | | A | | 34966 | | (2) | (2) | Class A Common Stock | 34966.0 | $0 | 34966 | D | |
Explanation of Responses: |
(1) | Each restricted stock unit ("RSU") represents a contingent right to receive one share of HYMC Class A Common Stock. |
(2) | 34,966 RSUs were granted on December 15, 2020. Subject to the reporting person's continued employment with the Issuer, the RSUs will vest in 3 equal installments on each of May 28, 2021, May 27, 2022 and May 29, 2023. Vested RSUs will convert into shares of HYMC Class A Common Stock on each applicable vesting date; provided, however, that if, on that conversion date, the reporting person is prohibited from trading in the Issuer's securities pursuant to applicable securities laws or the Company's policies, the conversion date shall be, in the determination of the Board's Compensation Committee, the 2nd trading day after the date the reporting person is no longer prohibited from such trading. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
GARRETT DIANE R C/O HYCROFT MINING HOLDING CORPORATION 8181 EAST TUFTS AVENUE DENVER, CO 80237 |
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| President, CEO & Director |
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Signatures
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Diane R. Garrett | | 12/17/2020 |
**Signature of Reporting Person | Date |
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