0001493152-22-017133.txt : 20220617 0001493152-22-017133.hdr.sgml : 20220617 20220617160049 ACCESSION NUMBER: 0001493152-22-017133 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20220617 DATE AS OF CHANGE: 20220617 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Noriega Roger CENTRAL INDEX KEY: 0001608103 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-55191 FILM NUMBER: 221023646 MAIL ADDRESS: STREET 1: 1150 K STREET, N.W. CITY: WASHINGTON STATE: DC ZIP: 20005 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Brazil Minerals, Inc. CENTRAL INDEX KEY: 0001540684 STANDARD INDUSTRIAL CLASSIFICATION: MINING, QUARRYING OF NONMETALLIC MINERALS (NO FUELS) [1400] IRS NUMBER: 392078861 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: RUA VEREADOR JOAO ALVES PRAES STREET 2: N 95-A CITY: OLHOS D'AGUA STATE: D5 ZIP: 39398-000 BUSINESS PHONE: 2133216065 MAIL ADDRESS: STREET 1: RUA BAHIA, 2463 STREET 2: SUITE 205 CITY: BELO HORIZONTE, MINAS GERAIS STATE: D5 ZIP: 30-160-012 FORMER COMPANY: FORMER CONFORMED NAME: Flux Technologies, Corp. DATE OF NAME CHANGE: 20120127 4 1 ownership.xml X0306 4 2017-06-30 0 0001540684 Brazil Minerals, Inc. BMIX 0001608103 Noriega Roger 433 NORTH CAMDEN DRIVE, SUITE 810 BEVERLY HILLS, CA 90210 1 0 0 0 Common Stock, par value $.001 per share 2021-02-12 4 M 0 1245836 0.0358 A 1248194 D Common Stock, par value $.001 per share 2021-02-12 4 M 0 2818918 0.0358 A 4067112 D Common Stock, par value $.001 per share 2021-02-12 4 M 0 4387298 0.0358 A 8454410 D Common Stock, par value $.001 per share 2021-02-12 4 M 0 6240575 0.0358 A 14694985 D Common Stock, par value $.001 per share 2021-02-12 4 M 0 6405860 0.0358 A 21100845 D Common Stock, par value $.001 per share 2021-02-12 4 M 0 12304245 0.0358 A 33405090 D Common Stock, par value $.001 per share 2021-03-02 4 M 0 11147142 0.0266 A 44552232 D Common Stock, par value $.001 per share 2021-03-02 4 M 0 13717172 0.0266 A 58269404 D Common Stock, par value $.001 per share 2021-03-02 4 M 0 2909479 0.0266 A 61178883 D Common Stock, par value $.001 per share 2021-03-02 4 M 0 7188323 0.0266 A 68367206 D Common Stock, par value $.001 per share 2021-03-02 4 M 0 7940966 0.0266 A 76308172 D Common Stock, par value $.001 per share 2021-03-02 4 M 0 10930116 0.0266 A 87238288 D Common Stock, par value $.001 per share 2021-03-02 4 M 0 13546635 0.0266 A 100784923 D Common Stock, par value $.001 per share 2021-03-02 4 M 0 9613473 0.0266 A 110398396 D Common Stock Options 0.0224 2017-06-30 4 A 0 1055000 A 2017-06-30 2022-06-30 Common Stock 1055000 1055000 D Common Stock Options 0.0079 2017-09-30 4 A 0 1598600 A 2017-09-30 2022-09-30 Common Stock 1598600 2653600 D Common Stock Options 0.0040 2017-12-31 4 A 0 3173500 A 2017-12-31 2022-12-31 Common Stock 3173500 5827100 D Common Stock Options 0.0037 2018-03-31 4 A 0 4893000 A 2018-03-31 2023-03-31 Common Stock 4893000 10720100 D Common Stock Options 0.0024 2018-06-30 4 A 0 6689000 A 2018-06-30 2023-06-30 Common Stock 6689000 17409100 D Common Stock Options 0.0015 2018-09-30 4 A 0 6686000 A 2018-09-30 2023-09-30 Common Stock 6686000 24095100 D Common Stock Options 0.0014 2018-12-31 4 A 0 12805000 A 2018-12-31 2023-12-31 Common Stock 12805000 36900100 D Common Stock Options 0.0011 2019-03-31 4 A 0 11628000 A 2019-03-31 2024-03-31 Common Stock 11628000 48528100 D Common Stock Options 0.0010 2019-06-30 4 A 0 14253000 A 2019-06-30 2024-06-30 Common Stock 14253000 62781100 D Common Stock Options 0.0043 2019-09-30 4 A 0 3470500 A 2019-09-30 2024-09-30 Common Stock 3470500 66251600 D Common Stock Options 0.0025 2019-12-31 4 A 0 7934000 A 2019-12-31 2024-12-31 Common Stock 7934000 74185600 D Common Stock Options 0.0013 2020-03-31 4 A 0 8349000 A 2020-03-31 2025-03-31 Common Stock 8349000 82534600 D Common Stock Options 0.0012 2020-06-30 4 A 0 11446500 A 2020-06-30 2025-06-30 Common Stock 11446500 93981100 D Common Stock Options 0.0011 2020-09-30 4 A 0 14131000 A 2020-09-30 2025-09-30 Common Stock 14131000 108112100 D Common Stock Options 0.0010 2020-12-31 4 A 0 9989000 A 2020-12-31 2025-12-31 Common Stock 9989000 118101100 D Common Stock Options 2021-02-12 4 M 0 1598600 0.0358 D 2022-09-30 Common Stock 1598600 116502500 D Common Stock Options 2021-02-12 4 M 0 3173500 0.0358 D 2022-12-31 Common Stock 3173500 113329000 D Common Stock Options 2021-02-12 4 M 0 4893000 0.0358 D 2023-03-31 Common Stock 4893000 108436000 D Common Stock Options 2021-02-12 4 M 0 6689000 0.0358 D 2023-06-30 Common Stock 6689000 101747000 D Common Stock Options 2021-02-12 4 M 0 6686000 0.0358 D 2023-09-30 Common Stock 6686000 95061000 D Common Stock Options 2021-02-12 4 M 0 12805000 0.0358 D 2023-12-31 Common Stock 12805000 82256000 D Common Stock Options 2021-03-02 4 M 0 11628000 0.0266 D 2024-03-31 Common Stock 11628000 70628000 D Common Stock Options 2021-03-02 4 M 0 14253000 0.0266 D 2024-06-30 Common Stock 14253000 56375000 D Common Stock Options 2021-03-02 4 M 0 3470500 0.0266 D 2024-09-30 Common Stock 3470500 52904500 D Common Stock Options 2021-03-02 4 M 0 7934000 0.0266 D 2024-12-31 Common Stock 7934000 44970500 D Common Stock Options 2021-03-02 4 M 0 8349000 0.0266 D 2025-03-31 Common Stock 8349000 36621500 D Common Stock Options 2021-03-02 4 M 0 11446500 0.0266 D 2025-06-30 Common Stock 11446500 25175000 D Common Stock Options 2021-03-02 4 M 0 14131000 0.0266 D 2025-09-30 Common Stock 14131000 11044000 D Common Stock Options 2021-03-02 4 M 0 9989000 0.0266 D 2025-12-31 Common Stock 9989000 1055000 D This Report on Form 4 discloses previously unreported non-derivative security transactions effected by or on behalf of the reporting person since February 12, 2021. Stock received in connection with reporting person's cashless exercise of stock options granted on 9/30/2017. Reflects 352,764 shares withheld at the cashless exercise price of $0.0358 per share to fund the cashless exercise of 1,598,600 options. The amount of securities beneficially owned by the reporting person prior to this transaction was 2,358 as a result of a reverse stock split effected by the Issuer on January 27, 2017. Stock received in connection with reporting person's cashless exercise of stock options granted on 12/31/2017. Reflects 354,582 shares withheld at the cashless exercise price of $0.0358 per share to fund the cashless exercise of 3,173,500 options. Stock received in connection with reporting person's cashless exercise of stock options granted on 3/31/2018. Reflects 505,702 shares withheld at the cashless exercise price of $0.0358 per share to fund the cashless exercise of 4,893,000 options. Stock received in connection with reporting person's cashless exercise of stock options granted on 6/30/2018. Reflects 448,425 shares withheld at the cashless exercise price of $0.0358 per share to fund the cashless exercise of 6,689,000 options. Stock received in connection with reporting person's cashless exercise of stock options granted on 9/30/2018. Reflects 280,140 shares withheld at the cashless exercise price of $0.0358 per share to fund the cashless exercise of 6,686,000 options. Stock received in connection with reporting person's cashless exercise of stock options granted on 12/31/2018. Reflects 500,755 shares withheld at the cashless exercise price of $0.0358 per share to fund the cashless exercise of 12,805,000 options. Stock received in connection with reporting person's cashless exercise of stock options granted on 3/31/2019. Reflects 480,858 shares withheld at the cashless exercise price of $0.0266 per share to fund the cashless exercise of 11,628,000 options. Stock received in connection with reporting person's cashless exercise of stock options granted on 6/30/2019. Reflects 535,828 shares withheld at the cashless exercise price of $0.0266 per share to fund the cashless exercise of 14,253,000 options. Stock received in connection with reporting person's cashless exercise of stock options granted on 9/30/2019. Reflects 561,021 shares withheld at the cashless exercise price of $0.0266 per share to fund the cashless exercise of 3,470,500 options. Stock received in connection with reporting person's cashless exercise of stock options granted on 12/31/2019. Reflects 745,677 shares withheld at the cashless exercise price of $0.0266 per share to fund the cashless exercise of 7,934,000 options. Stock received in connection with reporting person's cashless exercise of stock options granted on 3/31/2020. Reflects 408,034 shares withheld at the cashless exercise price of $0.0266 per share to fund the cashless exercise of 8,349,000 options. Stock received in connection with reporting person's cashless exercise of stock options granted on 6/30/2020. Reflects 516,384 shares withheld at the cashless exercise price of $0.0266 per share to fund the cashless exercise of 11,446,500 options. Stock received in connection with reporting person's cashless exercise of stock options granted on 9/30/2020. Reflects 584,365 shares withheld at the cashless exercise price of $0.0266 per share to fund the cashless exercise of 14,131,000 options. Stock received in connection with reporting person's cashless exercise of stock options granted on 12/31/2020. Reflects 375,527 shares withheld at the cashless exercise price of $0.0266 per share to fund the cashless exercise of 9,989,000 options. This Report on Form 4 discloses previously unreported derivative security transactions effected by or on behalf of the reporting person since June 30, 2017. Quarterly award of Stock Options for services as a director. Stock Options exercised at the exercise price disclosed on Table I to this Report on Form 4 on the corresponding transaction date. The Stock Options had fully vested upon issuance and were fully exercised as shown on Table I above. /s/ Roger Noriega 2022-06-17