Filing Details
- Accession Number:
- 0000950103-20-021451
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-11-03 17:35:54
- Reporting Period:
- 2020-10-30
- Accepted Time:
- 2020-11-03 17:35:54
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1517006 | Gatos Silver Inc. | GATO | Gold And Silver Ores (1040) | 272654848 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1828700 | Adam Dubas | C/O Gatos Silver, Inc. 8400 E. Crescent Parkway, Suite 600 Greenwood Village CO 80111 | Chief Administrative Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2020-10-30 | 5,732 | $5.60 | 8,097 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2020-10-30 | 2,000 | $7.00 | 10,097 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | P | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to Buy) | $27.66 | 2022-10-30 | 5,750 | 5,750 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $27.66 | 2023-02-16 | 5,750 | 5,750 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $7.00 | 2025-02-08 | 10,000 | 10,000 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $7.00 | 2025-12-23 | 7,892 | 7,892 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $9.00 | 2026-12-15 | 15,000 | 15,000 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $9.00 | 2027-12-05 | 20,000 | 20,000 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $12.00 | 2029-05-03 | 25,000 | 25,000 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $12.00 | 2030-01-20 | 25,000 | 25,000 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $7.00 | 2030-10-27 | 75,000 | 75,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2022-10-30 | 5,750 | 5,750 | Direct |
| 2023-02-16 | 5,750 | 5,750 | Direct |
| 2025-02-08 | 10,000 | 10,000 | Direct |
| 2025-12-23 | 7,892 | 7,892 | Direct |
| 2026-12-15 | 15,000 | 15,000 | Direct |
| 2027-12-05 | 20,000 | 20,000 | Direct |
| 2029-05-03 | 25,000 | 25,000 | Direct |
| 2030-01-20 | 25,000 | 25,000 | Direct |
| 2030-10-27 | 75,000 | 75,000 | Direct |
Footnotes
- Represents shares of common stock acquired using deferrals of salary at a price equal to 80% of the price of shares sold in Gatos Silver, Inc.'s (the "Issuer") public offering, with the Reporting Person's account credited with a cash value of 125% of the reporting person's deferred salary.
- Reflects a reorganization (the "Reorganization") of the Issuer on October 30, 2020, in which Silver Opportunity Partners LLC ("SOP") became a wholly owned subsidiary of a newly created Delaware corporation named Silver Opportunity Partners Corporation ("SOP Corporation") and each share of the Issuer's common stock outstanding immediately prior to the Reorganization was exchanged for (i) approximately 0.39406 shares of Issuer common stock (subject to rounding to eliminate fractional shares) and (ii) approximately 0.10594 shares of common stock of SOP Corporation (subject to rounding to eliminate fractional shares).
- These options were granted on October 30, 2012 and are fully vested.
- These options were granted on February 16, 2013 and are fully vested.
- These options were granted on February 8, 2015 and are fully vested.
- These options were granted on December 23, 2015 and are fully vested.
- These options were granted on August 31, 2017. Three quarters of these options have vested and the remaining 1/4th vests on December 15, 2020.
- These options were granted on December 6, 2017. One half of these options have vested and the remaining one-half vests in equal installments on each of December 5, 2020 and December 5, 2021.
- These options were granted on May 3, 2019. One fourth of these options have vested and the remaining three fourths vest in equal installments on each of December 14, 2020, December 14, 2021 and December 14, 2022.
- These options were granted on January 20, 2020. These options vest in three equal installments on each of January 20, 2021, January 20, 2022 and January 20, 2023.
- These options were granted on October 27, 2020 and vest in three equal annual installments on each of October 27, 2021, October 27, 2022 and October 27, 2023.
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