| Name | Relationship | Address | Signature | Signature date | CIK |
|---|---|---|---|---|---|
| Augusta Investments Inc. | 10%+ Owner | SUITE 555, 999 CANADA PLACE, VANCOUVER, BRITISH COLUMBIA, CANADA | /s/ Richard Warke, President of Augusta Investments Inc. | 2025-10-23 | 0001829144 |
| Warke Richard W | Executive Chairman, Director, 10%+ Owner | SUITE 555, 999 CANADA PLACE, VANCOUVER, BRITISH COLUMBIA, CANADA | /s/ Richard Warke | 2025-10-23 | 0001390411 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AUGG | Common Shares | Disposed to Issuer | -25.5M | -100% | 0 | Oct 23, 2025 | Direct | F1, F2 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AUGG | Director Stock Option (Right to Buy) | Disposed to Issuer | -650K | -100% | 0 | Oct 23, 2025 | Common Shares | 650K | $0.80 | Direct | F3, F4, F5, F6 | ||
| transaction | AUGG | Director Stock Option (Right to Buy) | Disposed to Issuer | -800K | -100% | 0 | Oct 23, 2025 | Common Shares | 800K | $1.55 | Direct | F5, F6, F7, F8 |
Augusta Investments Inc. is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.
| Id | Content |
|---|---|
| F1 | Disposed of pursuant to the Agreement and Plan of Merger, dated as of July 15, 2025 (as amended from time to time, the "Merger Agreement") by and among the Issuer, AngloGold Ashanti (U.S.A.) Holdings Inc. ("Parent"), Exploration Inc., ("Merger Sub"), and joined by AngloGold Ashanti Holdings plc for the limited purposes specified in the Merger Agreement, which was consummated on October 23, 2025, and pursuant to which Parent acquired all of the outstanding common shares of the Issuer (other than those owned by Parent and its affiliates) in exchange for cash consideration of C$1.70 per share (the "Merger"). |
| F2 | Held by Augusta Investments Inc. Richard Warke is the sole officer and director of Augusta Investments Inc. and has indirect beneficial ownership of these shares. |
| F3 | As previously reported, exercise price reported above was converted from the Canadian exercise price of C$1.11 using an exchange rate of C$1.3821=US$1.00. |
| F4 | Options were granted on April 16, 2024, and vest as follows: One-third on April 16, 2025; one-third on April 16, 2026; and one-third on April 16, 2027. |
| F5 | In connection with the Merger, all outstanding options to purchase common shares of the issuer as of immediately prior to the effective time of the Merger, were deemed unconditionally vested and exercisable, and subsequently cancelled in exchange for cash payment equal to the difference between the per share consideration of C$1.70 and the per share exercise price of such option multiplied by the number of common shares issuable pursuant to such option, less applicable withholdings. |
| F6 | Directly held by Richard Warke. |
| F7 | As previously reported, exercise price reported above was converted from the Canadian exercise price of C$2.00 using an exchange rate of C$1.2934=US$1.00. |
| F8 | As previously reported, the options were originally granted on February 22, 2021 and vest as follows: One-third on February 22, 2022; one-third on February 22, 2023; and one-third on February 22, 2024. |