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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SABALA JAMES A |
Sr. Vice President & CFO |
Tami D. Whitman, Attorney-in-Fact for James A. Sabala | 06/27/2014 | |
**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) | Mr. Sabala was awarded 117,747 restricted stock units on June 21, 2013. The restrictions lapsed on one-third of those stock units (39,249 shares) and Mr. Sabala elected to have Hecla Mining Company withhold 13,681 shares to cover his tax liability. Mr. Sabala was also awarded 70,474 restricted stock units on June 25, 2012. The restrictions lapsed on one-third of those stock units (23,491 shares) and Mr. Sabala elected to have Hecla Mining Company withhold 8,287 shares to cover his tax liability. |
(2) | Dividend shares accrued on the 39,249 and 23,491 restricted stock units that vested. |
(3) | Total shares beneficially held by Mr. Sabala. |
(4) | Award of restricted stock units that vest as follows: 34,849 shares on June 25, 2015; 34,848 shares on June 25, 2016; and 34,848 shares on June 25, 2017. |
(5) | Total unvested restricted stock units held by Mr. Sabala. |