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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Common share options (right to buy) | $ 0.5747 (1) | 01/26/2021 | M | 100,000 | (3) | 12/16/2021 | Common Shares | 100,000 | $ 0 | 945,451 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SMITH ROGER L. 10758 W. CENTENNIAL ROAD SUITE 200 LITTLETON, CO 80127 |
CHIEF FINANCIAL OFFICER |
/s/ Roger L. Smith | 01/27/2021 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | The options were exercised, and the shares were acquired, at $0.73 Canadian dollars; $0.5747 U.S. dollars is the equivalent of the exercise price pursuant to the exchange rate as of the transaction date (Cdn$ 1.00 = US$0.7873) as reported by Bank of Canada on its website, www.bankofcanada.ca. |
(2) | The shares were sold at $1.3000 Canadian dollars; $1.0235 U.S. dollars is the equivalent of the sales price pursuant to the exchange rate as of the transaction date (Cdn$ 1.00 = US$0.7873) as reported by Bank of Canada on its website, www.bankofcanada.ca. |
(3) | The options granted on 12/16/2016 vested and became exercisable as follows: 24,118 on 12/16/2016; 53,061 on 5/2/2017; 53,060 on 9/16/2017; 53,061 on 1/31/2018; and 57,884 on 6/16/2018. |