0001539497-23-001404.txt : 20230811 0001539497-23-001404.hdr.sgml : 20230811 20230811173942 ACCESSION NUMBER: 0001539497-23-001404 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230811 FILED AS OF DATE: 20230811 DATE AS OF CHANGE: 20230811 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith Mark A. CENTRAL INDEX KEY: 0001496772 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41655 FILM NUMBER: 231165370 MAIL ADDRESS: STREET 1: 5619 DENVER TECH CENTER PARKWAY STREET 2: SUITE 1000 CITY: GREENWOOD VILLAGE STATE: CO ZIP: 80111 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NIOCORP DEVELOPMENTS LTD CENTRAL INDEX KEY: 0001512228 STANDARD INDUSTRIAL CLASSIFICATION: METAL MINING [1000] IRS NUMBER: 000000000 STATE OF INCORPORATION: A1 FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 7000 S. YOSEMITE STREET STREET 2: STE. 115 CITY: CENTENNIAL STATE: CO ZIP: 80112 BUSINESS PHONE: 720-639-4647 MAIL ADDRESS: STREET 1: 7000 S. YOSEMITE STREET STREET 2: STE. 115 CITY: CENTENNIAL STATE: CO ZIP: 80112 FORMER COMPANY: FORMER CONFORMED NAME: QUANTUM RARE EARTH DEVELOPMENTS CORP. DATE OF NAME CHANGE: 20110204 5 1 ownership.xml X0508 5 2023-08-11 0 0 0 0001512228 NIOCORP DEVELOPMENTS LTD NB 0001496772 Smith Mark A. C/O NIOCORP DEVELOPMENTS LTD. 7000 YOSEMITE STREETE, SUITE 115 CENTENNIAL CO 80112 1 1 0 0 President & CEO 0 Common Shares 2041795 D Employee Stock Option (right to buy) 10.1424 2021-12-17 2024-12-17 Common Shares 65000 65000 D Employee Stock Option (right to buy) 5.5933 2020-12-14 2023-12-14 Common Shares 50000 50000 D Employee Stock Option (right to buy) 6.95 2023-03-27 2026-03-27 Common Shares 70000 70000 D On March 17, 2023, the Issuer effected a 1-for-10 reverse stock split (the "Reverse Stock Split") of its common shares, without par value ("Common Shares"), with any fractional shares resulting from the Reverse Stock Split rounded down to the nearest whole share, resulting in a decrease in the Reporting Person's ownership by 18,376,163 Common Shares. This option has been adjusted to reflect the Reverse Stock Split (in prior reports, this option was previously reported as covering a number of shares equal to this reported amount times 10 (and at an exercise price equal to this reported exercise price divided by 10)). Option exercise price was converted from Canadian exercise price of C$13.60 using an exchange rate of C$1.3409=US$1.00 as reported by the Bank of Canada on August 10, 2023. Option exercise price was converted from Canadian exercise price of C$7.50 using an exchange rate of C$1.3409=US$1.00 as reported by the Bank of Canada on August 10, 2023. /s/ Mark A. Smith 2023-08-11