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Delaware | 27-3431051 |
(State or other jurisdiction of
incorporation or organization)
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(I.R.S. Employer
Identification No.)
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Large accelerated filer | ☐ | Accelerated filer | ☐ |
Non-accelerated filer | ☒ | Smaller Reporting Company |
☒ |
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Emerging growth company |
☐ |
(a)
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The Company’s Annual Report on Form 10-K for the fiscal year ended June 30, 2023, filed with the SEC on September 13, 2023 (the “2023 Annual
Report”);
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(b)
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The portions of the Company’s Definitive Proxy Statement on Schedule 14A for the 2023 Annual Meeting of Stockholders that are specifically
incorporated by reference into the 2023 Annual Report;
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(c)
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The Company’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2023, filed with the SEC on November 14, 2023;
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(d)
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The Company’s Current Reports on Form 8-K filed with the SEC on July 17, 2023, July 26, 2023, August 4, 2023, August 8, 2023, August 30, 2023,
September 13, 2023, November 15, 2023, and November 16, 2023; and
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(e)
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The description of the Company’s common stock contained in the section entitled “Description of Capital Stock” in the prospectus included in
the Company's Registration Statement on Form S-3 (Registration No. 333-260511) initially filed with the SEC on October 26, 2021, including any amendments or reports filed for the purpose of updating such description (including Exhibit 4.15
to the 2023 Annual Report).
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Exhibit
Number
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Description |
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CONTANGO ORE, INC. | ||
By:
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/s/ Rick Van Nieuwenhuyse
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Name:
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Rick Van Nieuwenhuyse
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Title:
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President and Chief Executive Officer
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Signature
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Title
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/s/ Rick Van Nieuwenhuyse
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||
Rick Van Nieuwenhuyse
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President and Chief Executive Officer
(Principal Executive Officer) |
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/s/ Leah Gaines
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Leah Gaines
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Vice President, Chief Financial Officer, Chief Accounting Officer, Treasurer and Secretary
(Principal Financial Officer and Principal Accounting Officer) |
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/s/ Brad Juneau
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Brad Juneau
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Chairman of the Board of Directors
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/s/ Joseph S. Compofelice
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Joseph S. Compofelice
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Director
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/s/ Richard A. Shortz
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Richard A. Shortz
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Director
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/s/ Curtis J. Freeman
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Curtis J. Freeman
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Director
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Exhibit 5.1 |
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(i)
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The genuineness of all signatures.
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(ii)
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The authenticity of the originals of the documents submitted to us.
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(iii)
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The conformity to authentic originals of any documents submitted to us as copies.
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(iv)
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As to matters of fact, the truthfulness of the representations made or otherwise incorporated in the Registration Statement and
representations and statements made in certificates or web sites of public officials and officers or other representatives of the Company.
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(v)
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That the offer and sale of Shares under the Plan complies in all respects with the terms, conditions and restrictions set forth in
the Registration Statement and the Plan.
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Respectfully submitted, |
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/s/ Holland & Knight LLP |
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HOLLAND & KNIGHT LLP |
Exhibit 23.2 |
Exhibit 107 |
Security Type
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Security Class Title
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Fee Calculation
Rule
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Amount Registered(1)
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Proposed Maximum Aggregate Offering
Price Per Unit
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Maximum Aggregate Offering Price
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Fee Rate
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Amount of Registration Fee
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Equity
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Common Stock (par value $0.01 per share)
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Other(2)
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1,192,929(2)
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$19.84(3)
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$23,667,711.36
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0.00014760
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$3,493.35
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Total Offering Amounts
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$23,667,711.36
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$3,493.35
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|||||
Total Fee Offsets
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–
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||||||
Net Fee Due
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$3,493.35
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(1)
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Pursuant to Rule 416(a) under the Securities Act of 1933, as amended (the “Securities Act”), there are also being registered such additional shares of common stock as may become issuable
pursuant to the adjustment provisions of the 2023 Omnibus Incentive Plan (the “Plan”) including stock splits, stock dividends or similar transactions.
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(2)
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As described in the Introduction in this Registration Statement, represents 193,500 New Shares and 999,429 Prior Plan Shares available for issuance under the Plan.
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(3)
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Estimated solely for the purpose of calculating the registration fee in accordance with Rule 457(c) and Rule 457(h) of the Securities Act based on the average of the bid and asked prices
per share of the registrant’s common stock on November 15, 2023 as reported on the NYSE American.
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