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NEWMONT Corp /DE/ — Director's Dealing 2012
Sep 13, 2012
29882_dirs_2012-09-13_fb0736d6-5d9f-4110-925c-a6ddc2a3d7c4.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NEWMONT MINING CORP /DE/ (NEM)
CIK: 0001164727
Period of Report: 2012-09-11
Reporting Person: Ottewell David A. (Vice President and Controller)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-09-11 | Common Stock $1.60 par value | M | 3250 | $45.16 | Acquired | 16801 | Direct |
| 2012-09-11 | Common Stock $1.60 par value | S | 3250 | $52.1663 | Disposed | 13551 | Direct |
| 2012-09-11 | Common Stock $1.60 par value | M | 6000 | $42.06 | Acquired | 19551 | Direct |
| 2012-09-11 | Common Stock $1.60 par value | S | 6000 | $52.0452 | Disposed | 13551 | Direct |
| 2012-09-11 | Common Stock $1.60 par value | M | 9000 | $44.49 | Acquired | 22551 | Direct |
| 2012-09-11 | Common Stock $1.60 par value | S | 9000 | $52.2391 | Disposed | 13551 | Direct |
| 2012-09-11 | Common Stock $1.60 par value | M | 6498 | $39.95 | Acquired | 20049 | Direct |
| 2012-09-11 | Common Stock $1.60 par value | S | 6498 | $52.1357 | Disposed | 13551 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-09-11 | Stock Option (right to buy) | $45.16 | M | 3250 | Disposed | 2015-10-26 | Common Stock (3250) | Direct |
| 2012-09-11 | Stock Option (right to buy) | $42.06 | M | 6000 | Disposed | 2017-04-30 | Common Stock (6000) | Direct |
| 2012-09-11 | Stock Option (right to buy) | $44.49 | M | 9000 | Disposed | 2018-04-28 | Common Stock (9000) | Direct |
| 2012-09-11 | Stock Option (right to buy) | $39.95 | M | 6498 | Disposed | 2019-05-04 | Common Stock (6498) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock $1.60 par value | 1432 | Indirect |
Footnotes
F1: This transaction was executed in multiple trades at prices of $52.10 to $52.23. The price reported above reflects the weighted average sale price. The 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.
F2: This transaction was executed in multiple trades at prices of $51.98 to $52.17. The price reported above reflects the weighted average sale price. The 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.
F3: This transaction was executed in multiple trades at prices of $52.185 to $52.25. The price reported above reflects the weighted average sale price. The 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.
F4: This transaction was executed in multiple trades at prices of $52.10 to $52.17. The price reported above reflects the weighted average sale price. The 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.
F5: As of August 30, 2012, the reporting person held 1,432 shares of Newmont Mining common stock in his 401(k) Plan.
F6: The option vested in three equal annual installments beginning October 26, 2006.
F7: The option vested in three equal annual installments beginning April 30, 2008.
F8: The option vested in three equal annual installments beginning April 28, 2009.
F9: The option vested in three equal annual installments beginning May 4, 2010.