Smith Mark A.'s Form 4 filing
Niocorp Developments Ltd (NB) · filed Nov 13, 2024
- Accession no.
- 0001539497-24-002414
- Filed
- Nov 13, 2024
- Trade date
- Nov 13, 2024
- Filing delay
- Same day
- Rule 10b5-1 plan
- Not checked
This filing lists 1 non-derivative transaction and 2 derivative transactions. It was filed on the trade date.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Smith Mark A.CIK 0001496772 | Director, Officer (President & CEO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 13, 2024 | Common Shares | PPurchaseAcquired | +183,422 | –F1 | – | 2,272,018 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Exercisable immediately on the issue date.
Referenced by the price of 1 transaction in Table I.
- F2
On November 13, 2023, the reporting person purchased 183,422 units (each, a "Unit") from NioCorp Developments Ltd. (the "Issuer") in a private placement. Each Unit consists of one common share, without par value (a "Common Share"), of the Issuer, one warrant to purchase one Common Share (a "Series A Warrant") and one-half of one warrant to purchase one Common Share (together with the series A Warrants, the "Warrants"). The price per Unit was $1.7675, which amount includes $0.125 per Warrant underlying each Unit.
Referenced by the price of 2 transactions in Table II.