Statement of Changes in Beneficial Ownership (4)
April 06 2020 - 5:13PM
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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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
*
Roberts Lauren M |
2. Issuer Name and Ticker or Trading Symbol
HECLA MINING CO/DE/
[
HL
]
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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) Sr. VP and COO |
(Last)
(First)
(Middle)
6500 N MINERAL DR, SUITE 200 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/31/2020 |
(Street)
COEUR D ALENE, ID 83815
(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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Common Stock | 3/31/2020 | | A | | 30320 (1) | A | $0 | 142269 (2) | D | |
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 |
Phantom Stock | (3) | 4/1/2020 | | A | | 29069 (4) | | (3) | (3) | Common Stock | 29069 (4) | $2.7681 (5) | 151262 (6) | D | |
Explanation of Responses: |
(1) | 100% of the 2017-2019 Long-term Incentive Plan award was paid in equity. |
(2) | Consists of 30,320 shares held directly, and 111,940 unvested restricted stock units. |
(3) | Each share of phantom stock is the economic equivalent of one share of common stock. The shares become payable in common stock at the election of the reporting person, upon the reporting person's termination of service as an officer or upon a specified future date as previously elected by the reporting person. |
(4) | Mr. Roberts deferred part of his compensation into the Hecla Mining Company Key Employee Deferred Compensation Plan during the period January 1, 2020 to March 31, 2020. At the end of the period, Mr. Roberts was credited with a number of phantom stock units. |
(5) | The share price is based on the average closing price of Hecla's common stock for each day during the first quarter 2020. |
(6) | Consists of 74,627 Performance Units and 76,635 shares of phantom stock held in the Key Employee Deferred Compensation Plan. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Roberts Lauren M 6500 N MINERAL DR SUITE 200 COEUR D ALENE, ID 83815 |
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| Sr. VP and COO |
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Signatures
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Tami D. Whitman, Attorney-in-Fact for Lauren M. Roberts | | 4/6/2020 |
**Signature of Reporting Person | Date |
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