AUMN · Golden Minerals Co · Insider Trading

The reported transaction involves the reporting person's receipt of a grant of 250,000 restricted stock units ("RSUs") under Golden Minerals Company's Amended and Restated 2023 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs are scheduled to vest in two equal tranches on October 1, 2027 and October 1, 2028.

The reported transaction involves the reporting person's receipt of a grant of 600,000 restricted stock units ("RSUs") under Golden Minerals Company's Amended and Restated 2023 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs are scheduled to vest in three equal tranches on October 1, 2027, October 1, 2028, and October 1, 2029.

The reported transaction involves the reporting person's forfeiture of 375,000 restricted stock units upon termination of employment.

The reported transaction involves the reporting person's receipt of a grant of 200,000 restricted stock units ("RSUs") under Golden Minerals Company's Amended and Restated 2023 Equity Incentive Plan (the "Plan"). The RSUs will fully vest upon any Change in Control as defined in the Plan, or, if no Change in Control occurs, one half of the RSUs will vest on the one year anniversary of the grant date and the second half will vest on the second anniversary of the grant date. Shares of common stock represented by vested RSUs will be issued to the reporting person effective on the date on which the reporting person ceases to serve as Chief Financial Officer of Golden Minerals Company.

The reported transaction involves the reporting person's receipt of a grant of 175,000 restricted stock units under Golden Minerals Company's Amended and Restated 2023 Equity Incentive Plan. The reporting person has reported prior awards of restricted stock units in Table II of Form 4. The total reported in Column 5 includes the 175,000 newly awarded restricted stock units,129,493 restricted stock units previously reported in Table II, and 400 shares of common stock.

The reported transaction involves the reporting person's receipt of a grant of 175,000 restricted stock units under Golden Minerals Company's Amended and Restated 2023 Equity Incentive Plan. The reporting person has reported prior awards of restricted stock units in Table II of Form 4. The total reported in Column 5 includes the 175,000 newly awarded restricted stock units and 108,000 restricted stock units previously reported in Table II.

The reported transaction involves the reporting person's receipt of a grant of 175,000 restricted stock units under Golden Minerals Company's Amended and Restated 2023 Equity Incentive Plan. The reporting person has reported prior awards of restricted stock units in Table II of Form 4. The total reported in Column 5 includes the 175,000 newly awarded restricted stock units,129,493 restricted stock units previously reported in Table II, and 280 shares of common stock.

The reported transaction involves the reporting person's receipt of a grant of 175,000 restricted stock units under Golden Minerals Company's Amended and Restated 2023 Equity Incentive Plan. The reporting person has reported prior awards of restricted stock units in Table II of Form 4. The total reported in Column 5 includes the 175,000 newly awarded restricted stock units, 133,600 restricted stock units previously reported in Table II, and 22,508 shares of common stock.

The reported transaction involves the reporting person's receipt of a grant of 750,000 restricted stock units under Golden Minerals Company's Amended and Restated 2023 Equity Incentive Plan. The reporting person has reported prior awards of restricted stock units in Table II of Form 4. The total reported in Column 5 includes the 750,000 newly awarded restricted stock units and 440,000 restricted stock units previously reported in Table II.

Reflects shares issued upon settlement of vested Units in connection with the retirement of the reporting person.

The closing price of the Issuer's common stock on the NYSE American on 09/03/2024.

Each Restricted Stock Unit ('RSU') represents a contingent right to receive one share of the Company's common stock. The RSUs will fully vest upon any Change of Control as defined in Golden Minerals Company's 2023 Equity Incentive Plan, or, if no Change of Control occurs, one-third of the RSUs will vest on the one year anniversary of the grant date, one-third of the RSUs will vest on the second anniversary of the grant date, and one-third of the RSUs will vest on the third anniversary of the grant date.

The reporting person was appointed as Golden Minerals Company's (the "Company") Chief Financial Officer on August 15, 2024. This Form 5 is filed in lieu of (i) a delinquent Form 3 which should have been filed by August 26, 2024 and (ii) a delinquent Form 4 which should have been filed by August 19, 2024.

Shares of common stock represented by vested RSUs will be issued to the reporting person on the date on which the reporting person ceases to serve as Chief Financial Officer of the Company.

Reflects shares issued upon settlement of vested Units in connection with the retirement of the reporting person.

The closing price of the Issuer's common stock on the NYSE American on 6/28/2024.

Shares surrendered to the Issuer for tax withholding to pay tax liability incurred by the receipt of securities issued in accordance with Rule 16b-3.

Reflects shares issued upon settlement of vested Restricted Stock Units in connection with the retirement of the reporting person from the Issuer's board of directors.

The closing price of the Issuer's common stock on the NYSE American on 6/25/2024.

Each Restricted Stock Unit ('RSU') represents a contingent right to receive one share of Golden Minerals Company common stock. The RSUs will fully vest upon any Change of Control as defined in Golden Minerals Company's 2023 Equity Incentive Plan, or, if no Change of Control occurs, one half of the RSUs will vest on the one year anniversary of the grant date and the second half will vest on the second anniversary of the grant date.

Shares of common stock represented by vested Restricted Stock Units will be issued to the reporting person effective on the date on which the reporting person ceases to serve as Chief Executive Officer of Golden Minerals Company

Each Restricted Stock Unit represents a contingent right to receive one share of Golden Minerals Company common stock. The Restricted Stock Units will vest on the first to occur of (i) the first anniversary of the grant date and (ii) a Change of Control as defined in Golden Minerals Company's 2023 Equity Incentive Plan.

Shares of common stock represented by vested Restricted Stock Units will be issued to the reporting person effective on the date on which the reporting person ceases to be a member of the Board of Directors of Golden Minerals Company.

Each Restricted Stock Unit represents a contingent right to receive one share of Golden Minerals Company common stock. The Restricted Stock Units will vest on the first to occur of (i) the first anniversary of the grant date and (ii) a Change of Control as defined in Golden Minerals Company's 2023 Equity Incentive Plan.

Shares of common stock represented by vested Restricted Stock Units will be issued to the reporting person effective on the date on which the reporting person ceases to be a member of the Board of Directors of Golden Minerals Company.

Each Restricted Stock Unit represents a contingent right to receive one share of Golden Minerals Company common stock. The Restricted Stock Units will vest on the first to occur of (i) the first anniversary of the grant date and (ii) a Change of Control as defined in Golden Minerals Company's 2023 Equity Incentive Plan.

Shares of common stock represented by vested Restricted Stock Units will be issued to the reporting person effective on the date on which the reporting person ceases to be a member of the Board of Directors of Golden Minerals Company.

Each Restricted Stock Unit represents a contingent right to receive one share of Golden Minerals Company common stock. The Restricted Stock Units will vest on the first to occur of (i) the first anniversary of the grant date and (ii) a Change of Control as defined in Golden Minerals Company's 2023 Equity Incentive Plan.

Shares of common stock represented by vested Restricted Stock Units will be issued to the reporting person effective on the date on which the reporting person ceases to be a member of the Board of Directors of Golden Minerals Company.

Each Restricted Stock Unit ('RSU') represents a contingent right to receive one share of Golden Minerals Company common stock. The RSUs will fully vest upon any Change of Control as defined in Golden Minerals Company's Amended and Restated 2009 Equity Incentive Plan, or, if no Change of Control occurs, one half of the RSUs will vest on the one year anniversary of the grant date and the second half will vest on the second anniversary of the grant date.

Shares of common stock represented by vested Restricted Stock Units will be issued to the reporting person effective on the date on which the reporting person ceases to serve as Chief Executive Officer of Golden Minerals Company.

Each Restricted Stock Unit represents a contingent right to receive one share of Golden Minerals Company common stock. The Restricted Stock Units will vest on the first to occur of (i) the first anniversary of the grant date and (ii) a Change of Control as defined in Golden Minerals Company's Amended and Restated 2009 Equity Incentive Plan.

Shares of common stock represented by vested Restricted Stock Units will be issued to the reporting person effective on the date on which the reporting person ceases to be a member of the Board of Directors of Golden Minerals Company.

Each Restricted Stock Unit represents a contingent right to receive one share of Golden Minerals Company common stock. The Restricted Stock Units will vest on the first to occur of (i) the first anniversary of the grant date and (ii) a Change of Control as defined in Golden Minerals Company's Amended and Restated 2009 Equity Incentive Plan.

Shares of common stock represented by vested Restricted Stock Units will be issued to the reporting person effective on the date on which the reporting person ceases to be a member of the Board of Directors of Golden Minerals Company.

Each Restricted Stock Unit represents a contingent right to receive one share of Golden Minerals Company common stock. The Restricted Stock Units will vest on the first to occur of (i) the first anniversary of the grant date and (ii) a Change of Control as defined in Golden Minerals Company's Amended and Restated 2009 Equity Incentive Plan.

Shares of common stock represented by vested Restricted Stock Units will be issued to the reporting person effective on the date on which the reporting person ceases to be a member of the Board of Directors of Golden Minerals Company.

Each Restricted Stock Unit represents a contingent right to receive one share of Golden Minerals Company common stock. The Restricted Stock Units will vest on the first to occur of (i) the first anniversary of the grant date and (ii) a Change of Control as defined in Golden Minerals Company's Amended and Restated 2009 Equity Incentive Plan.

Shares of common stock represented by vested Restricted Stock Units will be issued to the reporting person effective on the date on which the reporting person ceases to be a member of the Board of Directors of Golden Minerals Company.

Each Restricted Stock Unit represents a contingent right to receive one share of Golden Minerals Company common stock. The Restricted Stock Units will vest on the first to occur of (i) the first anniversary of the grant date and (ii) a Change of Control as defined in Golden Minerals Company's Amended and Restated 2009 Equity Incentive Plan.

Shares of common stock represented by vested Restricted Stock Units will be issued to the reporting person effective on the date on which the reporting person ceases to be a member of the Board of Directors of Golden Minerals Company.

Each Restricted Stock Unit represents a contingent right to receive one share of Golden Minerals Company common stock. The Restricted Stock Units will vest on the first to occur of (i) the first anniversary of the grant date and (ii) a Change of Control as defined in Golden Minerals Company's Amended and Restated 2009 Equity Incentive Plan.

Shares of common stock represented by vested Restricted Stock Units will be issued to the reporting person effective on the date on which the reporting person ceases to be a member of the Board of Directors of Golden Minerals Company.

Each Restricted Stock Unit represents a contingent right to receive one share of Golden Minerals Company common stock. The Restricted Stock Units will vest on the first to occur of (i) the first anniversary of the grant date and (ii) a Change of Control as defined in Golden Minerals Company's Amended and Restated 2009 Equity Incentive Plan.

Shares of common stock represented by vested Restricted Stock Units will be issued to the reporting person effective on the date on which the reporting person ceases to be a member of the Board of Directors of Golden Minerals Company.

Reflects shares issued upon settlement of vested KELTIP Units in connection with the retirement of the reporting person.

The closing price of the issuer's common stock on the NYSE American on 03/31/2022, the date the shares of common stock were acquired and disposed of.

The Form 4 filed on 04/04/2022 erroneously reported a price of $0.52 in column 4. The purpose of this amendment is to correct the price in column 4.

Shares surrendered to the Issuer for tax withholding to pay tax liability incurred by the receipt of securities issued in accordance with Rule 16b-3.

The closing price of the issuer's common stock on the NYSE American on 03/31/2022, the date the shares of common stock were acquired and disposed of.

Each Restricted Stock Unit represents a contingent right to receive one share of Golden Minerals Company common stock. The Restricted Stock Units will vest on the first to occur of (i) the company's 2022 annual shareholder meeting, and (ii) a Change of Control as defined in Golden Minerals Company's Amended and Restated 2009 Equity Incentive Plan.

Shares of common stock represented by vested Restricted Stock Units will be issued to the reporting person effective on the date on which the reporting person ceases to be a member of the Board of Directors of Golden Minerals Company.

Each Restricted Stock Unit represents a contingent right to receive one share of Golden Minerals Company common stock. The Restricted Stock Units will immediately vest on the grant date.

Shares of common stock represented by vested Restricted Stock Units will be issued to the reporting person effective on the date on which the reporting person ceases to be a member of the Board of Directors of Golden Minerals Company.

Each Restricted Stock Unit represents a contingent right to receive one share of Golden Minerals Company common stock. The Restricted Stock Units will vest on the first to occur of (i) the first anniversary of the grant date and (ii) a Change of Control as defined in Golden Minerals Company's 2009 Equity Incentive Plan.

Shares of common stock represented by vested Restricted Stock Units will be issued to the reporting person effective on the date on which the reporting person ceases to be a member of the board of directors of Golden Minerals Company. The reporting person is director and managing partner of Sentient. Sentient, through the Sentient executive funds, holds shares of common stock of Golden Minerals Company. In accordance with certain Sentient internal requirements, the reporting person will remit the shares of common stock issued pursuant to the Restricted Stock Units that are received by the reporting person for serving on the Board of Directors of Golden Minerals Company as directed by Sentient at the time of issuance.

Once shares of common stock represented by vested Restricted Stock Units are issued to the reporting person, the reporting person will indirectly own those shares of common stock. As such, the reporting person disclaims beneficial ownership of these securities, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

Each Restricted Stock Unit represents a contingent right to receive one share of Golden Minerals Company common stock. The Restricted Stock Units will vest on the first to occur of (i) the first anniversary of the grant date and (ii) a Change of Control as defined in Golden Minerals Company's 2009 Equity Incentive Plan.

Shares of common stock represented by vested Restricted Stock Units will be issued to the reporting person effective on the date on which the reporting person ceases to be a member of the Board of Directors of Golden Minerals Company.

Each Restricted Stock Unit represents a contingent right to receive one share of Golden Minerals Company common stock. The Restricted Stock Units will vest on the first to occur of (i) the first anniversary of the grant date and (ii) a Change of Control as defined in Golden Minerals Company's 2009 Equity Incentive Plan.

Shares of common stock represented by vested Restricted Stock Units will be issued to the reporting person effective on the date on which the reporting person ceases to be a member of the Board of Directors of Golden Minerals Company.

Each Restricted Stock Unit represents a contingent right to receive one share of Golden Minerals Company common stock. The Restricted Stock Units will vest on the first to occur of (i) the first anniversary of the grant date and (ii) a Change of Control as defined in Golden Minerals Company's 2009 Equity Incentive Plan.

Shares of common stock represented by vested Restricted Stock Units will be issued to the reporting person effective on the date on which the reporting person ceases to be a member of the Board of Directors of Golden Minerals Company.

Each Restricted Stock Unit represents a contingent right to receive one share of Golden Minerals Company common stock. The Restricted Stock Units will vest on the first to occur of (i) the first anniversary of the grant date and (ii) a Change of Control as defined in Golden Minerals Company's 2009 Equity Incentive Plan.

Shares of common stock represented by vested Restricted Stock Units will be issued to the reporting person effective on the date on which the reporting person ceases to be a member of the Board of Directors of Golden Minerals Company.

The Units were granted pursuant to the Golden Minerals Company 2013 Key Employee Long-Term Incentive Plan (the "KELTIP"). Each Unit represents a contingent right to receive on the applicable payment date, a settlement amount measured generally by the price of Golden Minerals Company (the "Company") common stock on the settlement date. The settlement amount may be paid in cash or in Company stock granted pursuant to the Company's Amended and Restated 2009 Equity Incentive Plan or another plan that may in the future be approved by the Company's stockholders. Payment of the settlement amount in respect of the reporting person's vested Units is deferred generally until the earlier of a change of control of the Company as described in the KELTIP and the date the reporting person ceases to serve as an officer or employee of the Company. All 800,000 units vested on the grant date.

Each Restricted Stock Unit represents a contingent right to receive one share of Golden Minerals Company common stock. The Restricted Stock Units will vest on the first to occur of (i) the first anniversary of the grant date and (ii) a Change of Control as defined in Golden Minerals Company's Amended and Restated 2009 Equity Incentive Plan.

Shares of common stock represented by vested Restricted Stock Units will be issued to the reporting person effective on the date on which the reporting person ceases to be a member of the Board of Directors of Golden Minerals Company.

The Units were granted pursuant to the Golden Minerals Company 2013 Key Employee Long-Term Incentive Plan (the "KELTIP"). Each Unit represents a contingent right to receive on the applicable payment date, a settlement amount measured generally by the price of Golden Minerals Company (the "Company") common stock on the settlement date. The settlement amount may be paid in cash or in Company stock granted pursuant to the Company's Amended and Restated 2009 Equity Incentive Plan or another plan that may in the future be approved by the Company's stockholders. Payment of the settlement amount in respect of the reporting person's vested Units is deferred generally until the earlier of a change of control of the Company as described in the KELTIP and the date the reporting person ceases to serve as an officer or employee of the Company. All 325,000 Units vested on the date of grant.

The Units were granted pursuant to the Golden Minerals Company 2013 Key Employee Long-Term Incentive Plan (the "KELTIP"). Each Unit represents a contingent right to receive on the applicable payment date, a settlement amount measured generally by the price of Golden Minerals Company (the "Company") common stock on the settlement date. The settlement amount may be paid in cash or in Company stock granted pursuant to the Company's Amended and Restated 2009 Equity Incentive Plan or another plan that may in the future be approved by the Company's stockholders. Payment of the settlement amount in respect of the reporting person's vested Units is deferred generally until the earlier of a change of control of the Company as described in the KELTIP and the date the reporting person ceases to serve as an officer or employee of the Company. All 180,000 Units vested on the date of grant.

The Units were granted pursuant to the Golden Minerals Company 2013 Key Employee Long-Term Incentive Plan (the "KELTIP"). Each Unit represents a contingent right to receive on the applicable payment date, a settlement amount measured generally by the price of Golden Minerals Company (the "Company") common stock on the settlement date. The settlement amount may be paid in cash or in Company stock granted pursuant to the Company's Amended and Restated 2009 Equity Incentive Plan or another plan that may in the future be approved by the Company's stockholders. Payment of the settlement amount in respect of the reporting person's vested Units is deferred generally until the earlier of a change of control of the Company as described in the KELTIP and the date the reporting person ceases to serve as an officer or employee of the Company. All 300,000 units vested on the grant date.

Includes an aggregate of 187,044 shares formerly owned of record by SGRF III Parallel I, L.P., an affiliate of the Reporting Person, before a consolidation