Filing Details
- Accession Number:
- 0001454170-11-000001
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-10-18 12:05:31
- Reporting Period:
- 2011-02-03
- Filing Date:
- 2011-10-18
- Accepted Time:
- 2011-10-18 12:05:31
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1025362 | Golden Queen Mining Co Ltd | GQM | Metal Mining (1000) | 000000000 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1454170 | Moragne Thomas Clay | 188 Old Street Road Peterborough NH 03458 | Yes | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Disposition | 2011-02-03 | 1,999,389 | $0.00 | 9,361,856 | No | 5 | G | Indirect | By grantor annuity trust |
Common Stock | Acquisiton | 2011-04-07 | 10,000 | $3.09 | 10,000 | No | 4 | P | Indirect | By general partnership |
Common Stock | Disposition | 2011-04-11 | 829,579 | $0.00 | 4,160,895 | No | 5 | G | Indirect | By grantor retained annuity trust |
Common Stock | Acquisiton | 2011-10-12 | 3,524,968 | $0.00 | 3,524,968 | No | 5 | G | Indirect | By grantor retained annuity trust |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 5 | G | Indirect | By grantor annuity trust |
No | 4 | P | Indirect | By general partnership |
No | 5 | G | Indirect | By grantor retained annuity trust |
No | 5 | G | Indirect | By grantor retained annuity trust |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 869,223 | Direct | |
Common Stock | 2,351 | Indirect | By mother |
Common Stock | 2,596,480 | Indirect | By siblings |
Common Stock | 4,979,094 | Indirect | By trusts |
Common Stock | 807,250 | Indirect | By corporation |
Common Stock | 30,777 | Indirect | By corporation |
Footnotes
- On February 3, 2011, the reporting person, as trustee of the Landon T. Clay 2010-1 Annuity Trust (the "2010-1 GRAT") authorized the transfer of 1,999,389 shares from the 2010-1 GRAT to Landon T. Clay as satisfaction of the annuity payment authorized by the 2010-1 GRAT.
- The price reported in Column 4 is a weighted average price. The shares were acquired in multiple transactions at prices ranging from $3.05 to $3.12 inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in this footnote.
- On April 7, 2011, Winter Place Associates, a general partnership, of which the reporting person has a partnership interest, purchased an aggregate of 10,000 shares of GQM. The reporting person disclaims beneficial ownership of these shares except to the extent of his proportionate pecuniary interest therein.
- On April 11, 2011, the reporting person, as trustee of the Landon T. Clay 2010-2 Annuity Trust (the "2010-2 GRAT") authorized the transfer of 829,579 shares from the 2010-2 GRAT to Landon T. Clay as satisfaction of the annuity payment authorized by the 2010-2 GRAT.
- Represents shares held by the 2010-1 GRAT of which the reporting person is the sole trustee. The reporting person disclaims beneficial ownersip of the shares held by the 2010-1 GRAT.
- Represents shares held by the 2010-2 GRAT of which the reporting person is the sole trustee. The reporting person disclaims beneficial ownership of the shares held by the 2010-2 GRAT.
- On October 12, 2011, the reporting person's father, Landon T. Clay, transferred an aggregate of 3,524,968 shares into the Landon T. Clay 2011-2 Annuity Trust u/a dated October 12, 2011 (the "2011-2 GRAT") for the benefit of the reporting person's father. The reporting person is the sole trustee of the 2011-2 GRAT. The reporting person disclaims beneficial ownership of the shares held by the 2011-2 GRAT.
- The reporting person disclaims beneficial ownership of these shares.
- The amount of direct holdings includes 701 shares of the issuer that were acquired by the reporting person from the distribution of shares held by the Landon T. Clay Charitable Annuity Lead Trust u/a November 30, 1983 ("LTC I Trust") which terminated on November 30, 2007. The shares acquired by the reporting person from the LTC I Trust were not previously reported due to an administrative error.
- Represents shares held by various charitable annuity lead trusts (the "Trusts") in which the reporting person has a remainder beneficial interest. The reporting person's father, Landon T. Clay, provides investment advisory services to the Trusts. The reporting persons disclaims beneficial interest of the shares held by the Trusts except to the extent of his proportionate pecuniary interest therein.
- Represents shares held by Arctic Coast Petroleums Ltd. ("Arctic Coast"). Reporting person is the trustee of the Clay Family 2009 Irrevocable Trust u/a dated April 14, 2009 (the "Trust") which owns 50% of the shares of Arctic Coast. The reporting person is a director of Arctic Coast. The reporting person disclaims beneficial ownership of the shares of GQM held by Arctic Coast.
- Represents shares held indirectly by the reporting person's father, Landon T. Clay. Such shares include 26,114 shares held by LTC Corp. and 4,663 shares held by LTC Corp. Pension and Profit Sharing PLan. The reporting person disclaims beneficial ownership of these shares.