FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 01/01/2010 |
3. Issuer Name and Ticker or Trading Symbol
NEWMONT MINING CORP /DE/ [ NEM ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, $1.60 par value | 4,458(1)(2) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | (3) | 05/14/2012 | Common Stock | 1,500 | $28.56 | D | |
Stock Option (right to buy) | (3) | 11/20/2012 | Common Stock | 375 | $23.99 | D | |
Stock Option (right to buy) | (4) | 12/02/2013 | Common Stock | 2,250 | $49.725 | D | |
Stock Option (right to buy) | (4) | 04/27/2014 | Common Stock | 2,250 | $40.43 | D | |
Stock Option (right to buy) | (4) | 12/07/2014 | Common Stock | 2,250 | $45.74 | D | |
Stock Option (right to buy) | (4) | 04/27/2015 | Common Stock | 2,250 | $38.05 | D | |
Stock Option (right to buy) | (5) | 10/26/2015 | Common Stock | 2,250 | $45.16 | D | |
Stock Option (right to buy) | (5) | 04/26/2016 | Common Stock | 4,500 | $57.71 | D | |
Stock Option (right to buy) | (6) | 04/30/2017 | Common Stock | 4,500 | $42.06 | D | |
Stock Option (right to buy) | (7) | 04/28/2018 | Common Stock | 5,400 | $44.49 | D | |
Stock Option (right to buy) | (8) | 05/04/2019 | Common Stock | 10,993 | $39.95 | D |
Explanation of Responses: |
1. Includes 3,049 restricted stock units representing a right to receive one share of the Issuer's common stock in accordance with the terms and conditions of the Reporting Person's restricted stock unit agreements. Restricted stock units vest in three equal annual installments beginning the first anniversary of the date of grant. The restricted stock units held by the Reporting Person will vest as follows: 199 units on April 30, 2010; 224 units on April 28, 2010 and 227 units on April 28, 2011; 89 units on May 4, 2010, 2011 and 2012; and 710 units on February 23, 2010 and 711 units on February 23, 2011 and 2012. |
2. As of December 31, 2009 the reporting person held 6,609 shares of Newmont Mining Corporation common stock in his 401(k) Plan. |
3. The stock options vested in four equal annual installments beginning the first anniversary of the grant date and are fully vested. |
4. The stock options vested in two equal annual installments beginning the first anniversary of the grant date and are fully vested. |
5. The stock options vested in three equal annual installments beginning the first anniversary of the grant date and are fully vested. |
6. The stock options vest in three equal annual installments beginning the first anniversary of the grant date and the remaining installment will vest April 30, 2010. |
7. The stock options vest in three equal annual installments beginning the first anniversary of the grant date and the remaining installments will vest April 28, 2010 and April 28, 2011. |
8. The stock options vest in three equal annual installments beginning the first anniversary of the grant date on May 4, 2010, May 4, 2011 and May 4, 2012. |
Remarks: |
Ardis Young, Assistant Secretary | 01/11/2010 | |
** 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 5 (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 Number. |