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GOLD RESOURCE CORP — Director's Dealing 2021
Jan 25, 2021
33971_rns_2021-01-25_81d0c6d8-86ae-4edd-97d1-1f324a26e703.zip
Director's Dealing
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144 1 tm214121d1_144.htm FORM 144
| UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 144 NOTICE OF PROPOSED SALE OF SECURITIES
| PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 | OMB APPROVAL | ||||||
|---|---|---|---|---|---|---|---|
| OMB Number: 3235-0101 Expires: July | |||||||
| 31, 2023 Estimated average burden hours per response 1.00 | |||||||
| SEC USE ONLY | |||||||
| DOCUMENT SEQUENCE NO. | |||||||
| ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker. | CUSIP NUMBER | ||||||
| 1 (a) NAME OF ISSUER (Please type or print) GOLD RESOURCE CORPORATION | (b) IRS IDENT. NO. 84-1473173 | (c) S.E.C. FILE NO. 001-34857 | WORK LOCATION | ||||
| 1 (d) ADDRESS OF ISSUER 2000 | |||||||
| S. COLORADO BLVD . | STREET SUITE 10200 | (b) | CITY DENVER | STATE CO | ZIP CODE 80403 | (e) TELEPHONE NO. | |
| AREA CODE 303 | NUMBER 320-7708 | ||||||
| 2 (a) NAME OF PERSON | |||||||
| FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD JASON D. REID | RELATIONSHIP TO ISSUER FORMER OFFICER | (c) ADDRESS STREET 2886 CARRIAGE MANOR POINT | CITY COLORADO SPRINGS | STATE CO | ZIP CODE 80906 |
INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.
| 3 (a) Title of the Class of Securities To Be Sold | (b) Name and Address of Each Broker Through Whom the Securities are to be Offered or Each Market Maker who is Acquiring the Securities | (c) Number of Shares or Other Units To Be Sold (See instr. 3(c)) | (d) Aggregate Market Value (See instr. 3(d)) | (e) Number of Shares or Other Units Outstanding (See instr. 3(e)) | (f) Approximate Date of Sale (See instr. 3(f)) (MO. DAY YR.) | (g) Name of Each Securities Exchange (See instr. 3(g)) | | --- | --- | --- | --- | --- | --- | --- | | | Broker-Dealer File Number | | | | | | | COMMON | CHARLES SCHWAB 201 COLUMBINE STREET, SUITE #130 DENVER, CO 80206 | 434,254 | $1,172,485 | 74,289,434 | 1/25/2021 | NYSE AMERICAN | | COMMON | CANACCORD GENUITY 609 GRANVILLE STREET, SUITE 2200, VANCOUVER, BC V7Y 1H2 | 33,487 | 90,414 | 74,289,434 | 1/25/2021 | NYSE AMERICAN | | COMMON | COMPUTERSHARE 462 SOUTH 4th STREET, SUITE 1600 LOUISVILLE, KY 40202 | 85,855 | 231,808 | 74,289,434 | 1/25/2021 | NYSE AMERICAN |
| INSTRUCTIONS: | | 3. (a) | Title of the class of securities to be sold | | --- | --- | --- | --- | | 1. (a) | Name of issuer | (b) | Name and address of each broker through whom the securities are intended to be sold | | (b) | Issuer’s I.R.S. Identification Number | (c) | Number of shares or other units to be sold (if debt securities, give the aggregate face amount) | | (c) | Issuer’s S.E.C. file number, if any | (d) | Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice | | (d) | Issuer’s address, including zip code | (e) | Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown | | (e) | Issuer’s telephone number, including area code | | by the most recent report or statement published by the issuer | | | | (f) | Approximate date on which the securities are to be sold | | 2. (a) | Name of person for whose account the securities are to be sold | (g) | Name of each securities exchange, if any, on which the securities are intended to be sold | | (b) | Such person’s relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing) | | | | (c) | Such person’s address, including zip code | | |
| Potential
| persons who are to 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 |
| 1147 (08-07 ) |
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TABLE I –– SECURITIES TO BE SOLD
Furnish the following information with respect to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or other consideration therefor:
| Title of the Class | Date you Acquired | Nature of Acquisition Transaction | Name of Person from Whom Acquired (If gift, also give date donor acquired) | Amount of Securities Acquired | Date of Payment | Nature of Payment |
|---|---|---|---|---|---|---|
| COMMON COMMON COMMON COMMON COMMON COMMON COMMON COMMON COMMON COMMON COMMON COMMON COMMON COMMON | 1/21/2009 3/4/2009 5/10/2012 11/15/2012 3/3/2014 5/14/2014 8/4/2017 1/15/2018 8/2/2018 8/15/2018 8/8/2019 8/15/2019 8/15/2020 12/29/2020 | Stock Option Exercise Stock Option Exercise Gift Market Purchase Gift Market Purchase Compensatory Stock Award Stock Option Exercise Compensatory Stock Award Compensatory Stock Award Compensatory Stock Award Compensatory Stock Award Compensatory Stock Award Compensatory Stock Award | Gold Resource Corporation Gold Resource Corporation Bill Reid, Unknown Date. NA Bill Reid, Unknown Date. NA Gold Resource Corporation Gold Resource Corporation Gold Resource Corporation Gold Resource Corporation Gold Resource Corporation Gold Resource Corporation Gold Resource Corporation Gold Resource Corporation | 67,300 6,315 122,018 7,326 122,018 2,000 10,869 108,155 10,870 6,082 10,870 13,702 13,703 52,368 | 1/21/2009 3/4/2009 NA 11/15/2012 NA 5/14/2009 NA 1/15/2018 NA NA NA NA NA NA | Net Exercise Net Exercise NA Cash NA Cash NA Net Exercise NA NA NA NA NA NA |
INSTRUCTIONS: If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.
TABLE II –– SECURITIES SOLD DURING THE PAST 3 MONTHS
Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.
| Title of Securities Sold | Date of Sale | Amount of Securities Sold | Gross Proceeds | |
|---|---|---|---|---|
| JASON REID, 2886 CARRIAGE MANOR POINT, COLORADO SPRINGS CO 80906 JASON REID, 2886 CARRIAGE MANOR POINT, COLORADO SPRINGS CO 80906 | COMMON STOCK COMMON STOCK | 1/20/21 1/22/21 | 300,000 140,764 | 734,166 378,000 |
REMARKS:
INSTRUCTIONS: See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice. ATTENTION: The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
| 1-25-2021 | |
|---|---|
| DATE OF NOTICE | (SIGNATURE) |
| The notice | |
| shall be signed by the person for whose account the securities are to be sold. At least one copy | |
| DATE | |
| OF PLAN ADOPTION OR GIVING OF INSTRUCTION, | of the notice shall be manually signed.Any copies not manually signed shall bear typed or printed signatures. |
| IF RELYING | |
| ON RULE 10B5-1 |
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)
SEC 1147 (02-08)
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