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) 05/08/2013 |
3. Issuer Name and Ticker or Trading Symbol
Contango ORE, Inc. [ CTGO ] |
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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, par value $0.01 | 739,780 | D(1) |
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) | (2) | 04/19/2014 | Common Stock | 15,000 | $14.025 | D | |
Stock Option (Right to Buy) | (3) | 04/19/2014 | Common Stock | 25,000 | $11 | D | |
Stock Option (Right to Buy) | (4) | 04/19/2014 | Common Stock | 50,000 | $11 | D | |
Warrant (Right to Buy) | 09/22/2013 | 03/22/2018 | Common Stock | 83,333 | $10 | D |
Explanation of Responses: |
1. Date of event reflects the date on which Joseph J. Romano and Donna Ungermannova Peak were appointed co-executors of the Estate of Kenneth R. Peak. Mr. Peak died on April 19, 2013. The filing of this statement shall not be deemed an admission that the Reporting Person is the beneficial owner of any securities not held directly for its account for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. |
2. The option became exercisable as to 5,000 shares on September 15, 2011, as to an additional 5,000 shares on September 15, 2012 and as to the remaining 5,000 shares on October 12, 2012. |
3. The option became exercisable as to 8,333 shares on July 3, 2012, and became exercisable as to the remaining 16,667 shares on October 12, 2012. |
4. The option became exercisable as to 16,666 shares on December 7, 2012, 16,667 on December 7, 2013 and would have become exercisable with respect to the remaining 16,667 shares on December 7, 2014. |
/s/ See Exhibit 99.1 | 05/20/2013 | |
** 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. |