Golden Minerals Co
For the period ended Dec 31, 2023. Filed Mar 19, 2024.
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FY2023 · Filed Mar 19, 2024
AUMN$0.20-0.4%Stored close · as of Jun 29, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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EXHIBITS
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| ExhibitNumber | | |
| 3.1 | | Amended and Restated Certificate of Incorporation of Golden Minerals Company (Incorporated by reference to our Current Report on Form 8-K filed March 30, 2009). |
| 3.2 | | First Amendment to the Amended and Restated Certificate of Incorporation of Golden Minerals Company dated September 2, 2011 (Incorporated by reference to our Current Report on Form 8-K filed September 9, 2011). |
| 3.3 | | Second Amendment to the Amended and Restated Certificate of Incorporation of Golden Minerals Company dated May 19, 2016 (incorporated by reference to our Current Report on Form 8-K filed on May 20, 2016). |
| 3.4 | | Third Amendment to the Amended and Restated Certificate of Incorporation of Golden Minerals Company dated June 11, 2020 (incorporated by reference to Appendix A of the Company’s Proxy Statement on Schedule 14A filed on March 25, 2021). |
| 3.5 | | Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Golden Minerals Company dated May 30, 2023 (incorporated by reference to our Current Report on Form 8-K filed on May 30, 2023). |
| 3.6 | | Amended and Restated Bylaws of Golden Minerals Company (incorporated by reference to our Current Report on Form 8-K filed on March 1, 2023). |
| 4.1 | | Description of Registrant’s Securities (incorporated by reference to our Annual Report on Form 10-K filed on February 27, 2020). |
| 4.2 | | Form of Series A Warrant (incorporated by reference to our Current Report on Form 8-K filed on July 19, 2019). |
| 4.3 | | Form of Series B Warrant (incorporated by reference to our Current Report on Form 8-K filed on July 19, 2019). |
| 4.4 | | Form of Series A Warrant (incorporated by reference to our Current Report on Form 8-K filed on April 23, 2020). |
| 4.5 | | Form of Series B Warrant (incorporated by reference to our Current Report on Form 8-K filed on April 23, 2020). |
| 4.6 | | Form of Common Warrant (incorporated by reference to Exhibit 10.2 to the Company’s Current Report on Form 8-K filed on June 29, 2023). |
| 4.7 | | Form of Pre-Funded Warrant (incorporated by reference to Exhibit 10.3 to the Company’s Current Report on Form 8-K filed on June 29, 2023). |
| 4.8 | | Form of Pre-Funded Warrant (incorporated by reference to Exhibit 10.4 to the Company’s Current report on Form 8-K filed on November 9, 2023). |
| 4.9 | | Form of Series A Warrant (incorporated by reference to Exhibit 10.2 to the Company’s Current Report on Form 8-K filed on November 9, 2023). |
| 4.10 | | Form of Series B Warrant (incorporated by reference to Exhibit 10.3 to the Company’s Current Report on Form 8-K filed on November 9, 2023). |
| 10.1 | | Form of Indemnification Agreement (incorporated by reference to our Current Report on Form 8-K filed March 30, 2009). |
| 10.2 | | Form of Change of Control Agreement (incorporated by reference to our Current Report on Form 8-K filed March 30, 2009). |
| 10.3 | | Golden Minerals Company 2023 Equity Incentive Plan (incorporated by reference Exhibit 10.1 to the Company’s Current Report on Form 8-K filed on May 30, 2023). |
| 10.4 | | Form of Restricted Stock Unit Award Agreement Pursuant to the 2023 Equity Incentive Plan (incorporated by reference to our Quarterly Report on Form 10-Q filed on November 13, 2023). |
| 10.5 | | At the Market Offering Agreement, dated as of December 20, 2016, between Golden Minerals Company and H.C. Wainwright & Co., LLC (incorporated by reference to our Current Report on Form 8-K filed on December 20, 2016). |
| 10.6 | | Amendment to At the Market Offering Agreement, dated as of November 23, 2018 (incorporated by reference to our Current Report on Form 8-K filed on November 23, 2018). |
| 10.7 | | Amendment to At the Market Offering Agreement, dated as of December 11, 2020 (incorporated by reference to our Current Report on Form 8-K filed on December 11, 2020). |
| 10.8 | | Earn-In Agreement among Golden Minerals Company, ASM Services S.A.R.L., Silex Spain, S.L., Silex Argentina, S.A. and Barrick Gold Corporation, dated April 9, 2020 (incorporated by reference to our Quarterly Report on Form 10-Q filed on May 6, 2020). |
| 10.9 | | Securities Purchase Agreement between Golden Minerals Company and certain institutional investors, dated as of June 26, 2023 (incorporated by reference to Exhibit 10.1 to our Current Report on Form 8-K filed on June 29, 2023). |
| 10.10 | | Securities Purchase Agreement between Golden Minerals Company and certain institutional investors, dated as of November 6, 2023 (incorporated by reference to Exhibit 10.1 to our Current Report on Form 8-K filed on November 9, 2023). |
| 10.11 | | Contract of Assignment of Mining Rights between Minera de Cordilleras, S. de R.L. de C.V. and Transformaciones y Servicios Metalurgicos, S.A. de C.V., dated December 1, 2023. * |
| 16.1 | | Letter from Plante & Moran, PLLC, dated as of September 8, 2022 (incorporated by reference to our Current Report on Form 8-K filed on September 9, 2022). |
| 16.2 | | Letter from Armanino, LLP, dated as of July 7, 2023 (incorporated by reference to our Current Report on Form 8-K filed on July 7, 2023). |
| 21.1 | | Subsidiaries of the Company. * |
| 23.1 | | Consent of Haynie & Company. * |
| 23.2 | | Consent of Armanino, LLP. * |
| 23.3 | | Consent of Tetra Tech. * |
| 23.4 | | Consent of Aaron Amoroso. * |
| 23.5 | | Consent of Matthew Booth. * |
| 31.1 | | Certification of Chief Executive Officer of Periodic Report Pursuant to Rule 13a-14(a) and Rule 15d-14(a) (Section 302 of the Sarbanes-Oxley Act of 2002). * |
| 31.2 | | Certification of Chief Financial Officer of Periodic Report Pursuant to Rule 13a-14(a) and Rule 15d-14(a) (Section 302 of the Sarbanes-Oxley Act of 2002). * |
| 32.1 | | Certificate of Principal Executive Officer and Principal Financial Officer pursuant to 18 U.S.C. 1350 (Section 906 of the Sarbanes-Oxley Act of 2002). ** |
| 96.1 | | Rodeo Project – Technical Report Summary (incorporated by reference to our Annual Report on Form 10-K filed on March 22, 2023). |
| 96.2 | | Yoquivo Project – Technical Report Summary (incorporated by reference to our Annual Report on Form 10-K filed on March 22, 2023). |
| 96.3 | | Velardeña Project – Technical Report Summary (incorporated by reference to our Registration Statement on Form S-1 filed on September 7, 2023). |
| 97.1 | | Policy Relating to Recovery of Erroneously Awarded Compensation.* |
| 101.INS | | Inline XBRL Instance Document. * |
| 101.SCH | | Inline XBRL Taxonomy Extension Schema Document. * |
| 101.CAL | | Inline XBRL Taxonomy Calculation Linkbase Document. * |
| 101.DEF | | Inline XBRL Taxonomy Definition Document. * |
| 101.LAB | | Inline XBRL Taxonomy Label Linkbase Document. * |
| 101.PRE | | Inline XBRL Taxonomy Presentation Linkbase Document. * |
| 104 | | Cover Page Interactive Data File (the cover page XBRL tags are embedded in the Inline XBRL document) |
| * | Filed herewith. |
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| ** | Furnished herewith. |
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