Upload
steve-timmer
View
43
Download
2
Embed Size (px)
DESCRIPTION
This is a report of insider trades by directors and officers of PolyMet Mining for 2015.
Citation preview
Insider transaction detail - View details for issuer
Transactions sorted by : InsiderIssuer name : Polymet ( Starts with )Transaction date range : January 1, 2015 - October 6, 2015
2015-10-06 16:25 ET
Legend:
Warning: The closing balance of the " equivalent number or value of underlying securities" reflects the" total number or value of underlying securities" to which the derivative contracts held by the insider relate. This disclosuredoes not mean and should not be taken to indicate that the underlying securities have, in fact, been acquired or disposed of by the insider.
Issuer name: Polymet Mining Corp.
O - Original transaction, A - First amendment to transaction, A' - Second amendment to transaction, AP - Amendment to paper filing, etc.
Insider's Relationship to Issuer: 1 - Issuer, 2 - Subsidiary of Issuer, 3 - 10% Security Holder of Issuer, 4 - Director of Issuer, 5 - Senior Officer of Issuer, 6 - Director or Senior Officer of 10% Security Holder, 7 - Directoror Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 8 - Deemed Insider - 6 Months before becoming Insider.
Transaction ID Date oftransactionYYYY-MM-DD
Date of filingYYYY-MM-DD
Ownership type(and registeredholder, ifapplicable)
Nature oftransaction
Number orvalue acquiredor disposed of
Unit price orexerciseprice
Closingbalance
Insider'scalculatedbalance
Conversionor exerciseprice
Date ofexpiry ormaturityYYYY-MM-DD
Underlying securitydesignation
Equivalentnumber orvalue ofunderlyingsecuritiesacquired ordisposed of
Closingbalance ofequivalentnumber orvalue ofunderlyingsecurities
Insider name: Cherry, Jonathan
Insider's Relationship to Issuer: 4 - Director of Issuer
Ceased to be Insider: Not applicable
Security designation: Common Shares
Transaction ID Date oftransactionYYYY-MM-DD
Date of filingYYYY-MM-DD
Ownership type(and registeredholder, ifapplicable)
Nature oftransaction
Number orvalue acquiredor disposed of
Unit price orexerciseprice
Closingbalance
Insider'scalculatedbalance
Conversionor exerciseprice
Date ofexpiry ormaturityYYYY-MM-DD
Underlying securitydesignation
Equivalentnumber orvalue ofunderlyingsecuritiesacquired ordisposed of
Closingbalance ofequivalentnumber orvalue ofunderlyingsecurities
2591058 2015-01-05 2015-01-09 Direct Ownership : 46 - Compensation forservices
1.0700 664,095+151,875 USD
2722877 2015-10-01 2015-10-05 Direct Ownership : 36 - Conversion orexchange
0.6100 690,336+26,241 USD
Security designation: Options (Common Shares)
2591062 2015-01-05 2015-01-09 Direct Ownership : 50 - Grant of options 1.0700 3,564,000 2020-01-05+502,000 Common Shares +502,000 3,564,000USD
Security designation: RSU's (Common Shares)
2591054 2015-01-05 2015-01-09 Direct Ownership : 46 - Compensation forservices
438,978 2016-12-01+151,875 Common Shares +151,875 438,978
2722866 2015-10-01 2015-10-05 Direct Ownership : 36 - Conversion orexchange
412,737 0.6100 2015-10-01-26,241 Common Shares -26,241 412,737USD
2722878 2015-10-01 2015-10-05 Direct Ownership : 59 - Exercise for cash 243,228 0.6100 2015-10-01-169,509 Common Shares -169,509 243,228USD
Insider name: Daley, Matthew
Insider's Relationship to Issuer: 4 - Director of Issuer
Ceased to be Insider: Not applicable
Security designation: RSU's (Common Shares)
2591074 2015-01-05 2015-01-09 Direct Ownership : 46 - Compensation forservices
23,809 2016-12-01+23,809 Common Shares +23,809 23,809
-2-
Transaction ID Date oftransactionYYYY-MM-DD
Date of filingYYYY-MM-DD
Ownership type(and registeredholder, ifapplicable)
Nature oftransaction
Number orvalue acquiredor disposed of
Unit price orexerciseprice
Closingbalance
Insider'scalculatedbalance
Conversionor exerciseprice
Date ofexpiry ormaturityYYYY-MM-DD
Underlying securitydesignation
Equivalentnumber orvalue ofunderlyingsecuritiesacquired ordisposed of
Closingbalance ofequivalentnumber orvalue ofunderlyingsecurities
Insider name: Dreisinger, David Bruce
Insider's Relationship to Issuer: 4 - Director of Issuer
Ceased to be Insider: Not applicable
Security designation: Common Shares
2678398 2015-06-25 2015-06-28 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
1.2550 1,304,450-10,000 USD
2678399 2015-06-25 2015-06-28 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
1.5500 1,301,850-2,600
2685039 2015-07-06 2015-07-09 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
1.4000 1,289,150-12,700
2685040 2015-07-06 2015-07-09 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
1.1200 1,284,150-5,000 USD
2685041 2015-07-07 2015-07-09 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
1.4100 1,282,950-1,200
2685042 2015-07-07 2015-07-09 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
1.1100 1,280,950-2,000 USD
2685043 2015-07-08 2015-07-09 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
1.0950 1,249,074-31,876 USD
2687289 2015-07-10 2015-07-14 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
1.3900 1,245,274-3,800
2687290 2015-07-10 2015-07-14 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
1.1000 1,245,101-173 USD
-3-
Transaction ID Date oftransactionYYYY-MM-DD
Date of filingYYYY-MM-DD
Ownership type(and registeredholder, ifapplicable)
Nature oftransaction
Number orvalue acquiredor disposed of
Unit price orexerciseprice
Closingbalance
Insider'scalculatedbalance
Conversionor exerciseprice
Date ofexpiry ormaturityYYYY-MM-DD
Underlying securitydesignation
Equivalentnumber orvalue ofunderlyingsecuritiesacquired ordisposed of
Closingbalance ofequivalentnumber orvalue ofunderlyingsecurities
2687292 2015-07-13 2015-07-14 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
1.0800 1,212,801-32,300 USD
2689000 2015-07-14 2015-07-17 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
1.0700 1,207,951-4,850 USD
2692584 2015-07-24 2015-07-28 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
0.9400 1,107,951-100,000 USD
2692585 2015-07-27 2015-07-28 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
0.9400 1,103,592-4,359 USD
2696481 2015-08-03 2015-08-07 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
1,003,092-100,500
2696483 2015-08-04 2015-08-07 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
1,002,892-200
2696484 2015-08-06 2015-08-07 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
928,190-74,702
2697427 2015-08-07 2015-08-08 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
857,144-71,046
2699365 2015-08-10 2015-08-14 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
832,144-25,000
2699366 2015-08-11 2015-08-14 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
830,144-2,000
2699367 2015-08-12 2015-08-14 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
819,860-10,284
-4-
Transaction ID Date oftransactionYYYY-MM-DD
Date of filingYYYY-MM-DD
Ownership type(and registeredholder, ifapplicable)
Nature oftransaction
Number orvalue acquiredor disposed of
Unit price orexerciseprice
Closingbalance
Insider'scalculatedbalance
Conversionor exerciseprice
Date ofexpiry ormaturityYYYY-MM-DD
Underlying securitydesignation
Equivalentnumber orvalue ofunderlyingsecuritiesacquired ordisposed of
Closingbalance ofequivalentnumber orvalue ofunderlyingsecurities
2699368 2015-08-13 2015-08-14 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
815,607-4,253
2701158 2015-08-14 2015-08-18 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
781,276-34,331
2701161 2015-08-17 2015-08-18 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
719,259-62,017
2703581 2015-08-20 2015-08-25 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
646,659-72,600
2712963 2015-09-09 2015-09-13 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
646,359-300
2712964 2015-09-10 2015-09-13 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
646,159-200
2712965 2015-09-11 2015-09-13 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
616,159-30,000
2714514 2015-09-14 2015-09-17 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
609,935-6,224
2714515 2015-09-15 2015-09-17 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
569,035-40,900
2718156 2015-09-21 2015-09-26 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
559,370-9,665
2718157 2015-09-22 2015-09-26 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
548,870-10,500
-5-
Transaction ID Date oftransactionYYYY-MM-DD
Date of filingYYYY-MM-DD
Ownership type(and registeredholder, ifapplicable)
Nature oftransaction
Number orvalue acquiredor disposed of
Unit price orexerciseprice
Closingbalance
Insider'scalculatedbalance
Conversionor exerciseprice
Date ofexpiry ormaturityYYYY-MM-DD
Underlying securitydesignation
Equivalentnumber orvalue ofunderlyingsecuritiesacquired ordisposed of
Closingbalance ofequivalentnumber orvalue ofunderlyingsecurities
2718158 2015-09-23 2015-09-26 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
518,470-30,400
2718159 2015-09-24 2015-09-26 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
516,770-1,700
2720760 2015-09-28 2015-10-02 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
388,530-128,240
2721758 2015-10-01 2015-10-02 Direct Ownership : 57 - Exercise of rights 418,292+29,762
Security designation: Options (Common Shares)
2718160 2015-09-21 2015-09-26 Direct Ownership : 52 - Expiration of options 850,000 2015-09-19-150,000 Common Shares -150,000 850,000
Security designation: RSU's (Common Shares)
2590303 2015-01-05 2015-01-08 Direct Ownership : 56 - Grant of rights 53,571+23,809 Common Shares +23,809 53,571
2721752 2015-10-01 2015-10-02 Direct Ownership : 57 - Exercise of rights 0.7900 23,809 0.7900-29,762 Common Shares -29,762 23,809
Insider name: Forrest, Walter Ian Logan
Insider's Relationship to Issuer: 4 - Director of Issuer
Ceased to be Insider: Not applicable
Security designation: Common Shares
2722921 2015-10-01 2015-10-05 Direct Ownership : 36 - Conversion orexchange
0.6100 29,762+29,762 USD
-6-
Transaction ID Date oftransactionYYYY-MM-DD
Date of filingYYYY-MM-DD
Ownership type(and registeredholder, ifapplicable)
Nature oftransaction
Number orvalue acquiredor disposed of
Unit price orexerciseprice
Closingbalance
Insider'scalculatedbalance
Conversionor exerciseprice
Date ofexpiry ormaturityYYYY-MM-DD
Underlying securitydesignation
Equivalentnumber orvalue ofunderlyingsecuritiesacquired ordisposed of
Closingbalance ofequivalentnumber orvalue ofunderlyingsecurities
Security designation: Options (Common Shares)
2716341 2015-09-19 2015-09-21 Direct Ownership : 52 - Expiration of options 1.1793 700,000 2015-09-19-150,000 Common Shares -150,000 700,000
Security designation: RSU's (Common Shares)
2591066 2015-01-05 2015-01-09 Direct Ownership : 46 - Compensation forservices
53,571 2016-12-01+23,809 Common Shares +23,809 53,571
2722905 2015-10-01 2015-10-05 Direct Ownership : 36 - Conversion orexchange
23,809 0.6100 2015-10-01-29,762 Common Shares -29,762 23,809USD
Insider name: Glencore plc
Insider's Relationship to Issuer: 3 - 10% Security Holder of Issuer
Ceased to be Insider: Not applicable
Security designation: Convertible Debentures Earlier of permitting and financing or 9.30.2014
2695265 2015-07-30 2015-08-05 Indirect Ownership : 97 - Other +$2,032,000 OGlencore AG
2695265 2015-07-30 2015-08-05 Indirect Ownership : 97 - Other $34,240,000+$2,032,000 AGlencore AG
Insider name: Hodnik, Alan
Insider's Relationship to Issuer: 4 - Director of Issuer
Ceased to be Insider: Not applicable
Security designation: Common Shares
2722981 2015-10-01 2015-10-05 Direct Ownership : 36 - Conversion orexchange
0.6100 130,262+29,762 USD
-7-
Transaction ID Date oftransactionYYYY-MM-DD
Date of filingYYYY-MM-DD
Ownership type(and registeredholder, ifapplicable)
Nature oftransaction
Number orvalue acquiredor disposed of
Unit price orexerciseprice
Closingbalance
Insider'scalculatedbalance
Conversionor exerciseprice
Date ofexpiry ormaturityYYYY-MM-DD
Underlying securitydesignation
Equivalentnumber orvalue ofunderlyingsecuritiesacquired ordisposed of
Closingbalance ofequivalentnumber orvalue ofunderlyingsecurities
Security designation: RSU's (Common Shares)
2590448 2015-01-05 2015-01-09 Direct Ownership : 46 - Compensation forservices
53,571 2016-12-01+23,809 Common Shares +23,809 53,571
2722972 2015-10-01 2015-10-05 Direct Ownership : 36 - Conversion orexchange
23,809 0.6100 2015-10-01-29,762 Common Shares -29,762 23,809USD
Insider name: Hunter, Stephanie
Insider's Relationship to Issuer: 5 - Senior Officer of Issuer
Ceased to be Insider: Not applicable
Security designation: Common Shares
2591082 2015-01-05 2015-01-09 Direct Ownership : 46 - Compensation forservices
21,851+8,225
2719232 2015-09-30 2015-09-30 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
0.9000+1,500 O
2719232 2015-09-30 2015-10-01 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
0.9000 29,351+7,500 A
2720015 2015-10-01 2015-10-01 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
0.8200 30,266+915
2720327 2015-10-01 2015-10-01 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
0.8100 30,351+85
2722977 2015-10-01 2015-10-05 Direct Ownership : 36 - Conversion orexchange
0.6100 44,488+14,137 USD
-8-
Transaction ID Date oftransactionYYYY-MM-DD
Date of filingYYYY-MM-DD
Ownership type(and registeredholder, ifapplicable)
Nature oftransaction
Number orvalue acquiredor disposed of
Unit price orexerciseprice
Closingbalance
Insider'scalculatedbalance
Conversionor exerciseprice
Date ofexpiry ormaturityYYYY-MM-DD
Underlying securitydesignation
Equivalentnumber orvalue ofunderlyingsecuritiesacquired ordisposed of
Closingbalance ofequivalentnumber orvalue ofunderlyingsecurities
Security designation: Options (Common Shares)
2591084 2015-01-05 2015-01-09 Direct Ownership : 50 - Grant of options 1.0700 234,000 2020-01-05+54,000 Common Shares +54,000 234,000USD
2715972 2015-09-19 2015-09-21 Direct Ownership : 52 - Expiration of options 1.1793 154,000 2015-09-19-80,000 Common Shares -80,000 154,000
Security designation: RSU's (Common Shares)
2722975 2015-10-01 2015-10-05 Direct Ownership : 36 - Conversion orexchange
11,500 0.6100 2015-10-01-14,137 Common Shares -14,137 11,500USD
Insider name: Moore, Bradley
Insider's Relationship to Issuer: 5 - Senior Officer of Issuer
Ceased to be Insider: Not applicable
Security designation: Common Shares
2586804 2015-01-05 2015-01-05 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
1.0900 84,294-20,000 USD
2591086 2015-01-05 2015-01-09 Direct Ownership : 46 - Compensation forservices
126,199+41,905
2594338 2015-01-16 2015-01-18 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
1.0900 96,199-30,000 USD
2627861 2015-03-17 2015-03-18 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
1.2601 87,176-9,023 USD
2722988 2015-10-01 2015-10-05 Direct Ownership : 36 - Conversion orexchange
0.6100 120,608+33,432 USD
-9-
Transaction ID Date oftransactionYYYY-MM-DD
Date of filingYYYY-MM-DD
Ownership type(and registeredholder, ifapplicable)
Nature oftransaction
Number orvalue acquiredor disposed of
Unit price orexerciseprice
Closingbalance
Insider'scalculatedbalance
Conversionor exerciseprice
Date ofexpiry ormaturityYYYY-MM-DD
Underlying securitydesignation
Equivalentnumber orvalue ofunderlyingsecuritiesacquired ordisposed of
Closingbalance ofequivalentnumber orvalue ofunderlyingsecurities
Security designation: Options (Common Shares)
2591087 2015-01-05 2015-01-09 Direct Ownership : 50 - Grant of options 1.0700 698,000 2020-01-05+138,000 Common Shares +138,000 698,000USD
Security designation: RSU's (Common Shares)
2591090 2015-01-05 2015-01-09 Direct Ownership : 46 - Compensation forservices
97,625 2016-12-01+41,905 Common Shares +41,905 97,655
2722983 2015-10-01 2015-10-05 Direct Ownership : 36 - Conversion orexchange
64,193 0.6100 2015-10-01-33,432 Common Shares -33,432 64,223USD
2722985 2015-10-01 2015-10-05 Direct Ownership : 59 - Exercise for cash 41,905 0.6100 2015-10-01-22,288 Common Shares -22,288 41,935USD
Insider name: Murray, William
Insider's Relationship to Issuer: 4 - Director of Issuer
Ceased to be Insider: Not applicable
Security designation: Common Shares
2722950 2015-10-01 2015-10-05 Direct Ownership : 36 - Conversion orexchange
0.6100 1,036,852+29,762 USD
Security designation: Options (Common Shares)
2716339 2015-09-19 2015-09-21 Direct Ownership : 52 - Expiration of options 1.1793 1,100,000 2015-09-19-300,000 Common Shares -300,000 1,100,000
Security designation: RSU's (Common Shares)
-10-
Transaction ID Date oftransactionYYYY-MM-DD
Date of filingYYYY-MM-DD
Ownership type(and registeredholder, ifapplicable)
Nature oftransaction
Number orvalue acquiredor disposed of
Unit price orexerciseprice
Closingbalance
Insider'scalculatedbalance
Conversionor exerciseprice
Date ofexpiry ormaturityYYYY-MM-DD
Underlying securitydesignation
Equivalentnumber orvalue ofunderlyingsecuritiesacquired ordisposed of
Closingbalance ofequivalentnumber orvalue ofunderlyingsecurities
2591077 2015-01-05 2015-01-09 Direct Ownership : 46 - Compensation forservices
93,825 2016-12-01+23,809 Common Shares +23,809 93,855
2722949 2015-10-01 2015-10-05 Direct Ownership : 36 - Conversion orexchange
64,063 0.6100 2015-10-01-29,762 Common Shares -29,762 64,093USD
Insider name: Newby, Douglas John
Insider's Relationship to Issuer: 5 - Senior Officer of Issuer
Ceased to be Insider: Not applicable
Security designation: Common Shares
2591106 2015-01-05 2015-01-09 Direct Ownership : 46 - Compensation forservices
323,750+64,464
2680190 2015-06-26 2015-07-02 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
1.2000 308,750-15,000 USD
2697781 2015-07-31 2015-08-10 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
0.9250 293,750-15,000 USD
2697782 2015-08-04 2015-08-10 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
0.9100 283,750-10,000 USD
2723014 2015-10-01 2015-10-05 Direct Ownership : 36 - Conversion orexchange
0.6100 329,553+45,803 USD
2590371 2015-01-05 2015-01-09 Indirect Ownership : 10 - Acquisition ordisposition in the publicmarket
1.0900 135,000-5,000 Proteus CapitalCorp.
USD
2590372 2015-01-07 2015-01-09 Indirect Ownership : 10 - Acquisition ordisposition in the publicmarket
1.0900 125,000-10,000 Proteus CapitalCorp.
USD
-11-
Transaction ID Date oftransactionYYYY-MM-DD
Date of filingYYYY-MM-DD
Ownership type(and registeredholder, ifapplicable)
Nature oftransaction
Number orvalue acquiredor disposed of
Unit price orexerciseprice
Closingbalance
Insider'scalculatedbalance
Conversionor exerciseprice
Date ofexpiry ormaturityYYYY-MM-DD
Underlying securitydesignation
Equivalentnumber orvalue ofunderlyingsecuritiesacquired ordisposed of
Closingbalance ofequivalentnumber orvalue ofunderlyingsecurities
2590374 2015-01-08 2015-01-09 Indirect Ownership : 10 - Acquisition ordisposition in the publicmarket
1.1100 120,000-5,000 Proteus CapitalCorp.
USD
2590375 2015-01-08 2015-01-09 Indirect Ownership : 10 - Acquisition ordisposition in the publicmarket
1.1200 115,000-5,000 Proteus CapitalCorp.
USD
2593568 2015-01-09 2015-01-16 Indirect Ownership : 10 - Acquisition ordisposition in the publicmarket
1.1500 105,000-10,000 Proteus CapitalCorp.
USD
2593569 2015-01-13 2015-01-16 Indirect Ownership : 10 - Acquisition ordisposition in the publicmarket
1.1500 95,000-10,000 Proteus CapitalCorp.
USD
2593570 2015-01-15 2015-01-16 Indirect Ownership : 10 - Acquisition ordisposition in the publicmarket
1.1000 85,000-10,000 Proteus CapitalCorp.
USD
2597166 2015-01-20 2015-01-23 Indirect Ownership : 10 - Acquisition ordisposition in the publicmarket
1.1000 75,000-10,000 Proteus CapitalCorp.
USD
2597171 2015-01-21 2015-01-23 Indirect Ownership : 10 - Acquisition ordisposition in the publicmarket
1.1000 68,680-6,320 Proteus CapitalCorp.
USD
2597174 2015-01-22 2015-01-23 Indirect Ownership : 10 - Acquisition ordisposition in the publicmarket
1.1000 68,060-620 Proteus CapitalCorp.
USD
2597176 2015-01-22 2015-01-23 Indirect Ownership : 10 - Acquisition ordisposition in the publicmarket
1.0900 65,000-3,060 Proteus CapitalCorp.
USD
2654552 2015-05-07 2015-05-08 Indirect Ownership : 10 - Acquisition ordisposition in the publicmarket
1.1600 40,000-25,000 Proteus CapitalCorp.
USD
2718210 2015-09-23 2015-09-27 Indirect Ownership : 10 - Acquisition ordisposition in the publicmarket
0.8495 25,000-15,000 Proteus CapitalCorp.
USD
-12-
Transaction ID Date oftransactionYYYY-MM-DD
Date of filingYYYY-MM-DD
Ownership type(and registeredholder, ifapplicable)
Nature oftransaction
Number orvalue acquiredor disposed of
Unit price orexerciseprice
Closingbalance
Insider'scalculatedbalance
Conversionor exerciseprice
Date ofexpiry ormaturityYYYY-MM-DD
Underlying securitydesignation
Equivalentnumber orvalue ofunderlyingsecuritiesacquired ordisposed of
Closingbalance ofequivalentnumber orvalue ofunderlyingsecurities
Security designation: Options (Common Shares)
2591109 2015-01-05 2015-01-09 Direct Ownership : 50 - Grant of options 1.0700 1,332,000 2020-01-05+213,000 Common Shares +213,000 1,332,000USD
2716340 2015-09-19 2015-09-21 Indirect Ownership : 52 - Expiration of options 1.1793 0 2015-09-19-210,000 Common Shares -210,000 0Proteus CapitalCorp.
Security designation: RSU's (Common Shares)
2591111 2015-01-05 2015-01-09 Direct Ownership : 46 - Compensation forservices
185,803 2016-12-01+64,464 Common Shares +64,464 185,803
2723004 2015-10-01 2015-10-05 Direct Ownership : 36 - Conversion orexchange
140,000 0.6100 2015-10-01-45,803 Common Shares -45,803 140,000USD
2723008 2015-10-01 2015-10-05 Direct Ownership : 59 - Exercise for cash 109,464 0.6100 2015-10-01-30,536 Common Shares -30,536 109,464USD
Insider name: Rowland, Stephen Allen
Insider's Relationship to Issuer: 4 - Director of Issuer
Ceased to be Insider: Not applicable
Security designation: Common Shares
2722970 2015-10-01 2015-10-05 Direct Ownership : 36 - Conversion orexchange
0.6100 179,762+29,762 USD
Security designation: RSU's (Common Shares)
2591070 2015-01-05 2015-01-09 Direct Ownership : 46 - Compensation forservices
53,571 2016-12-01+23,809 Common Shares +23,809 53,571
-13-
Transaction ID Date oftransactionYYYY-MM-DD
Date of filingYYYY-MM-DD
Ownership type(and registeredholder, ifapplicable)
Nature oftransaction
Number orvalue acquiredor disposed of
Unit price orexerciseprice
Closingbalance
Insider'scalculatedbalance
Conversionor exerciseprice
Date ofexpiry ormaturityYYYY-MM-DD
Underlying securitydesignation
Equivalentnumber orvalue ofunderlyingsecuritiesacquired ordisposed of
Closingbalance ofequivalentnumber orvalue ofunderlyingsecurities
2722966 2015-10-01 2015-10-05 Direct Ownership : 36 - Conversion orexchange
23,809 0.6100 2015-10-01-29,762 Common Shares -29,762 23,809USD
Insider name: Sill, Michael Mitchell
Insider's Relationship to Issuer: 4 - Director of Issuer
Ceased to be Insider: Not applicable
Security designation: Common Shares
2722887 2015-10-01 2015-10-05 Direct Ownership : 36 - Conversion orexchange
0.6100 281,262+29,762 USD
Security designation: RSU's (Common Shares)
2591068 2015-01-05 2015-01-09 Direct Ownership : 46 - Compensation forservices
53,571 2016-12-01+23,809 Common Shares +23,809 53,571
2722884 2015-10-01 2015-10-05 Direct Ownership : 36 - Conversion orexchange
23,809 0.6100 2015-10-01-29,762 Common Shares -29,762 23,809USD
Insider name: Vogt, Ryan
Insider's Relationship to Issuer: 5 - Senior Officer of Issuer
Ceased to be Insider: Not applicable
Security designation: Common Shares
2591104 2015-01-05 2015-01-09 Direct Ownership : 46 - Compensation forservices
92,679+21,905
2719206 2015-09-30 2015-09-30 Direct Ownership : 10 - Acquisition ordisposition in the publicmarket
0.6800 107,679+15,000 USD
-14-
Transaction ID Date oftransactionYYYY-MM-DD
Date of filingYYYY-MM-DD
Ownership type(and registeredholder, ifapplicable)
Nature oftransaction
Number orvalue acquiredor disposed of
Unit price orexerciseprice
Closingbalance
Insider'scalculatedbalance
Conversionor exerciseprice
Date ofexpiry ormaturityYYYY-MM-DD
Underlying securitydesignation
Equivalentnumber orvalue ofunderlyingsecuritiesacquired ordisposed of
Closingbalance ofequivalentnumber orvalue ofunderlyingsecurities
2722898 2015-10-01 2015-10-05 Direct Ownership : 36 - Conversion orexchange
0.6100 137,441+29,762 USD
Security designation: Options (Common Shares)
2591126 2015-01-05 2015-01-09 Direct Ownership : 50 - Grant of options 1.0700 307,000 2020-01-05+72,000 Common Shares +72,000 307,000USD
Security designation: RSU's (Common Shares)
2591103 2015-01-05 2015-01-09 Direct Ownership : 46 - Compensation forservices
51,667 2016-12-01+21,905 Common Shares +21,905 51,667
2722897 2015-10-01 2015-10-05 Direct Ownership : 36 - Conversion orexchange
21,905 0.6100 2015-10-01-29,762 Common Shares -29,762 21,905USD
-15-