Statement of Changes in Beneficial Ownership (4)
02 Décembre 2022 - 10:28PM
Edgar (US Regulatory)
FORM 4
[ ] Check this box if no longer subject to Section
16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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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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1. Name
and Address of Reporting Person * KAPLAN THOMAS
SCOTT |
2. Issuer Name and Ticker or Trading
Symbol NOVAGOLD RESOURCES INC [ NG ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
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(Last)
(First)
(Middle)
600 FIFTH AVENUE, 24TH FLOOR |
3. Date of Earliest Transaction (MM/DD/YYYY)
12/1/2022
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(Street)
NEW YORK, NY 10020
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. 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 |
7. Title and Amount of Securities Underlying
Derivative Security
(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 |
Deferred Share Unit |
(1) |
12/1/2022 |
(1) |
A |
|
1899.762 |
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(1) |
(1) |
Common Shares |
1899.762 |
$0 |
85905.98 |
D |
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Stock Option (right to buy) |
$5.77 |
12/1/2022 |
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A |
|
59300 |
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(2) |
11/30/2027 |
Common Shares |
59300 |
$0 |
59300 |
D |
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Explanation of
Responses: |
(1) |
Each Deferred Share Unit
("DSU") is the economic equivalent of one of the Issuer's common
shares. The DSUs vested immediately upon issuance; however, the
underlying common shares will not be issued to the reporting
person, and the reporting person shall not have any voting or
dispositive rights with respect to the underlying common shares,
until termination of the reporting person's employment or services
as a director of the Issuer. The grants will expire no later than
90 days after the reporting person's termination date. |
(2) |
The options vest as follows:
1/3 on Dec. 1, 2023, 1/3 on Dec. 1, 2024, 1/3 on Dec. 1,
2025 |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
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Director |
10% Owner |
Officer |
Other |
KAPLAN THOMAS SCOTT
600 FIFTH AVENUE, 24TH FLOOR
NEW YORK, NY 10020 |
X |
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Signatures
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/s/ Thomas S. Kaplan |
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12/2/2022 |
**Signature of
Reporting Person |
Date |
Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
* |
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). |
Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
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. |
Novagold Resources (AMEX:NG)
Graphique Historique de l'Action
De Mar 2023 à Mar 2023
Novagold Resources (AMEX:NG)
Graphique Historique de l'Action
De Mar 2022 à Mar 2023