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Contango ORE, Inc. — Director's Dealing 2016
Sep 2, 2016
33109_dirs_2016-09-02_fcabded0-269c-4101-acb4-dbbef3cf2673.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Contango ORE, Inc. (CTGO)
CIK: 0001502377
Period of Report: 2016-08-27
Reporting Person: COMPOFELICE JOSEPH S (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-08-27 | Common Stock, par value $0.01 | M | 2344 | $12.75 | Acquired | 55366 | Direct |
| 2016-08-27 | Common Stock, par value $0.01 | M | 5833 | $10.00 | Acquired | 61199 | Direct |
| 2016-08-27 | Common Stock, par value $0.01 | M | 2917 | $10.00 | Acquired | 64116 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-08-27 | Stock Option (right to buy) | $12.75 | M | 5000 | Acquired | 2016-09-15 | Common Stock (5000) | Direct |
| 2016-08-27 | Stock Option (right to buy) | $10.00 | M | 10000 | Acquired | 2017-07-03 | Common Stock (10000) | Direct |
| 2016-08-27 | Stock Option (right to buy) | $10.00 | M | 5000 | Acquired | 2017-12-07 | Common Stock (5000) | Direct |
Footnotes
F1: On August 27, 2016, the reporting person received 2,344 shares of Common Stock upon the net exercise of 5,000 of the reporting person's stock options that were granted on 9/15/2011. The reporting person forfeited 2,656 shares of Common Stock underlying the stock option in payment of the exercise price resulting from the exercise, using the closing stock price on August 26, 2016, of $24. These options fully vested on September 15, 2013.
F2: On August 27, 2016, the reporting person received 5,833 shares of Common Stock upon the net exercise of 10,000 of the reporting person's stock options that were granted on 7/3/2012. The reporting person forfeited 4,167 shares of Common Stock underlying the stock option in payment of the exercise price resulting from the exercise, using the closing stock price on August 26, 2016, of $24. These options fully vested on July 3, 2014.
F3: On August 27, 2016, the reporting person received 2,917 shares of Common Stock upon the net exercise of 5,000 of the reporting person's stock options that were granted on 12/7/2012. The reporting person forfeited 2,083 shares of Common Stock underlying the stock option in payment of the exercise price resulting from the exercise, using the closing stock price on August 26, 2016, of $24. These options fully vested on December 7, 2014.