Statement of Changes in Beneficial Ownership (4)
June 10 2021 - 6:41PM
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
*
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)
__X__ 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, SUITE 510 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/8/2021 |
(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 | 6/8/2021 | | P | | 55000 | A | $3.50 | 366615 (1)(2) | D | |
Class A Common Stock | | | | | | | | 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 |
Explanation of Responses: |
(1) | The total reported in line one of Column 5 includes the shares of the Issuer's Class A Common Stock ("Common Stock") purchased in the reported transaction and (i) 23,427 restricted stock units ("RSUs") representing a contingent right to receive one share of the Issuer's Common Stock, which RSUs were issued to the Reporting person on December 15, 2020, with 11,539 vesting on May 27, 2022 and 11,888 vesting on May 29, 2023, subject to Reporting Person's continued employment with the Issuer, (ii) 154,495 RSUs issued on March 2, 2021, which will vest 33% on March 15, 2022; 33% on March 15, 2023 and 34% on March 15, 2024 subject to the reporting person's continued employment with the Issuer, (iii) 96,154 RSUs issued on September 8, 2020 which will vest on September 8, 2024, subject to the Reporting Person's continued employment with the Issuer and (iv) 37,539 shares of Common Stock held directly by the Reporting Person. |
(2) | RSUs will convert into shares of Common Stock upon vesting; 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 Issuer'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, SUITE 510 DENVER, CO 80237 | X |
| President, CEO & Director |
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Signatures
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Diane R. Garrett | | 6/10/2021 |
**Signature of Reporting Person | Date |
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