|
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, 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. | |||
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted stock units | (3) | 12/11/2014 | M | 12,320 | (4) | (5) | Common Stock | 12,320 | $ 0 | 24,642 | D | ||||
Restricted stock units | (3) | 12/12/2014 | M | 12,321 | (6) | (5) | Common Stock | 12,321 | $ 0 | 12,321 | D | ||||
Restricted stock units | (3) | 12/15/2014 | M | 7,334 | (7) | (5) | Common Stock | 7,334 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Pennington Robert Ira C/O GENERAL MOLY, INC. 1726 COLE BLVD., SUITE 115 LAKEWOOD, CO 80401 |
VP Engineering & Construction |
Jennifer A. D'Alessandro, as attorney-in-fact | 12/15/2014 | |
**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) | Represents acquisition of common stock upon vesting of restricted stock units. |
(2) | Robert Pennington is the sole member of the Robert Pennington Dolores R. Pennington P/ADM Mineral Development LLC. |
(3) | Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. |
(4) | The restricted stock units vest as follows: one-third on December 11, 2014, one-third on December 11, 2015 and one-third on December 11, 2016. |
(5) | One-third of the restricted stock units will convert to shares of the issuer's common stock on each vesting date and the shares will be delivered to the reporting person. |
(6) | The restricted stock units vest as follows: one-third on December 12, 2013, one-third on December 12, 2014 and one-third on December 12, 2015. |
(7) | The restricted stock units vest as follows: one-third on December 15, 2012, one-third on December 15, 2013 and one-third on December 15, 2014. |