UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who 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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Kitlen John 6363 SOUTH FIDDLER'S GREEN CIRCLE GREENWOOD VILLAGE, CO 80111 |
 |  |  VP, Controller & CAO |  |
/s/ David Kristoff, as attorney-in-fact for John Kitlen | 06/07/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Includes 19,568 restricted stock units representing a right to receive one share of the Issuer's common stock in accordance with the terms and conditions of the Reporting Person's restricted stock unit agreements. Restricted stock units generally vest in three equal installments beginning on the first anniversary of the date of grant. Restricted stock units held by the Reporting Person will vest as follows: 2,333 units on February 22, 2017; 3,066 units on February 24, 2017; 1,995 units on February 26, 2017; 1,886 units on April 25, 2017; 2,333 units on February 22, 2018; 1,849 units on February 24, 2018; 1,886 units on April 25, 2018; 2,334 units on February 22, 2019; and 1,886 units on April 25, 2019. |
(2) | 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 June 1, 2016, the reporting person held 617 shares or 2,267 units of Newmont Mining common stock in his 401(k) Plan. |