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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Phantom Stock | (3) | 08/15/2018 | J(4) | V | 170 (5) | (4) | (4) | Common Stock | 170 (5) | $ 33.05 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Gottesfeld Stephen P 6363 SOUTH FIDDLERS GREEN CIRCLE GREENWOOD VILLAGE, CO 80111 |
EVP and General Counsel |
Logan H. Hennessey, as attorney-in-fact for Stephen P. Gottesfeld | 12/28/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on April 30, 2018. |
(2) | This transaction was executed in multiple trades at prices ranging from $35.01 to $35.025. The price reported reflects the weighted average sales price. This reporting person undertakes to provide (upon request by the SEC staff, the issuer, or a security holder of the issuer) full information regarding the number of shares sold at each separate price. |
(3) | Convertible on a 1-for-1 basis |
(4) | Shares of phantom stock, payable in cash under the terms of the Savings Equalization Plan of the Corporation, were reallocated following the elimination of the Newmont Stock Fund as an investment option under the Savings Equalization Plan. No volitional sales or transfers of Newmont securities were made by the reporting person in connection with the above reported change in ownership. |
(5) | The number of phantom stock reported is based on the Corporation's estimation of the share value correlated with the number of units in the Savings Equalization Plan of the Corporation. Fluctuation in share estimation since the filing of the Form 4 reporting the acquisition of the phantom stock reflects changes in the stock price rather than investments or dispositions of units within the Savings Equalization Plan. |