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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, Section 17(a) of the Public Utility Holding Company Act of 1935 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 | ||||||||
Warrant (Right to Buy) | $ 10 | 03/22/2013 | P | 41,667 | 09/22/2013 | 03/22/2018 | Common Stock | 41,667 | (1) | 41,667 | I | As sole manager of the general partner (1) | |||
Warrant (Right to Buy) | $ 10 | 03/22/2013 | P | 41,667 | 09/22/2013 | 03/22/2018 | Common Stock | 41,667 | (1) | 41,667 | I | As sole manager (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JUNEAU JOHN B 3700 BUFFALO SPEEDWAY SUITE 960 HOUSTON, TX 77098 |
X | President and CEO |
John B. Juneau | 03/26/2013 | |
**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 reporting person acquired an aggregate of 83,334 units at a purchase price of $12.00 per unit, in a private placement to certain investors (the Investors) pursuant to a Subscription Agreement dated as of March 22, 2013 among Contango ORE, Inc. (the "Company") and the Investors therein. Each unit entitles the Investor to one share of common stock and a five-year warrant to purchase one share of common stock at an exercise price of $10.00. Of these 83,344 unites, 41,667 units were purchased by Juneau Exploration, L.P., and 41,667 units were purchased by J4D Enterprises, L.P. The reporting person also owns of record 2,698 shares of common stock of the Company. |
Remarks: The reporting person disclaims beneficial ownership of the securities of the Company reported herein in excess of his pecuniary interests, if any, and this report shall not be deemed an admission that such person is the beneficial owner of, or has any pecuniary interest in such securities for purposes of Section 16 of the Securities and Exchange Act of 1934 as amended for any other purpose. |