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NEWMONT Corp /DE/ — Director's Dealing 2017
Mar 1, 2017
29882_dirs_2017-03-01_f8b224c6-e713-43e7-8090-14727d6da795.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: 2017-02-27
Reporting Person: Engel E Randall (EVP, Strategic Development)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-02-27 | Common Stock, $1.60 par value | A | 84800 | — | Acquired | 289870 | Direct |
| 2017-02-27 | Common Stock, $1.60 par value | F | 39500 | $35.01 | Disposed | 250370 | Direct |
| 2017-02-27 | Common Stock, $1.60 par value | A | 24850 | — | Acquired | 275220 | Direct |
| 2017-02-28 | Common Stock, $1.60 par value | S | 12720 | $34.22 | Disposed | 262500 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, $1.60 par value | 4077 | Indirect |
Footnotes
F1: Shares withheld to satisfy tax withholding obligation applicable to the vesting of 84,800 stock-settled restricted stock units.
F2: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on April 29, 2016.
F3: This transaction was executed in multiple trades at prices ranging from $34.09 to $34.36. The price reported reflects the weighted average sales price. This 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: The reported shareholding is based on the Company's estimation of the share value correlated with the number of units in the fund. As of February 28, 2017, the reporting person held 4,077 shares or 14,964 units of Newmont Mining common stock in his 401(k) Plan. Fluctuation in share estimate since the filing of the last Form 4 reflects changes in the stock price rather than investments or dispositions of units within the stock fund.