Initial Statement of Beneficial Ownership (3)
May 11 2022 - 02:44PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
GALASSINI JOHN |
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/9/2022
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3. Issuer Name and Ticker or Trading Symbol
Golden Minerals Co [AUMN]
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(Last)
(First)
(Middle)
350 INDIANA STREET, SUITE 650 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Operating Officer / |
(Street)
GOLDEN, CO 80401
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Units | (1) | (1) | Common Stock | 500000 | (1) | D | |
Explanation of Responses: |
(1) | The Units were granted pursuant to the Golden Minerals Company 2013 Key Employee Long-Term Incentive Plan (the "KELTIP"). Each Unit represents a contingent right to receive on the applicable payment date, a settlement amount measured generally by the price of Golden Minerals Company (the "Company") common stock on the settlement date. The settlement amount may be paid in cash or in Company stock granted pursuant to the Company's Amended and Restated 2009 Equity Incentive Plan or another plan that may in the future be approved by the Company's stockholders. Payment of the settlement amount in respect of the reporting person's vested Units is deferred generally until the earlier of a change of control of the Company as described in the KELTIP and the date the reporting person ceases to serve as an officer or employee of the Company. The Units were granted on May 9, 2022. 1/2 will vest on each of the two succeeding anniversaries of the grant date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
GALASSINI JOHN 350 INDIANA STREET, SUITE 650 GOLDEN, CO 80401 |
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| Chief Operating Officer |
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Signatures
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Julie Weedman for John Galassini Pursuant to Power of Attorney | | 5/11/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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