Item 5. Other Information
ITEM 5. OTHER INFORMATION
During the quarter ended March 31, 2024,
no director or officer (as defined in Rule 16a-1(f) promulgated under the Exchange Act) of the Company adopted or terminated a
“Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement” (as each term is defined in
Item 408 of Regulation S-K).
ITEM 6. EXHIBITS
Exhibit No.
Title
3.1
Notice of Articles dated April 5, 2016
3.2(1)
Articles, as amended, effective as of January 27, 2015
3.3(2)
Amendment to Articles, effective March 17, 2023
4.1(3)
Securities Purchase Agreement, dated as of April 11, 2024, by and between NioCorp Developments Ltd. and each of YA II PN, Ltd. and Lind Global Fund II LP
32
4.2(3)
Global Guaranty Agreement, dated as of April 11, 2024, by Elk Creek Resources Corporation and 0896800 B.C. Ltd.
4.3(3)
Registration Rights Agreement, dated as of April 11, 2024, by and between NioCorp Developments Ltd. and each of YA II PN, Ltd. and Lind Global Fund II LP
10.1(4)#
NioCorp Developments Ltd. Long-Term Incentive Plan, as amended
31.1
Certification of Chief Executive Officer pursuant to Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
31.2
Certification of Chief Financial Officer pursuant to Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
32.1
Certification of the Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
32.2
Certification of the Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
101.INS(5)
Inline XBRL Instance Document
101.SCH(5)
Inline XBRL Taxonomy Extension- Schema
101.CAL(5)
Inline XBRL Taxonomy Extension – Calculations
101.DEF(5)
Inline XBRL Taxonomy Extension – Definitions
101.LAB(5)
Inline XBRL Taxonomy Extension – Labels
101.PRE(5)
Inline XBRL Taxonomy Extension – Presentations
104
Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101)
#
Management compensation plan, arrangement, or agreement.
(1)
Previously filed as an exhibit to the Company’s Draft Registration Statement on Form S-1 (Registration No. 377-01354) submitted to the SEC on July 26, 2016, and incorporated herein by reference.
(2)
Previously filed as an exhibit to the Company’s Current Report on Form 8-K (File No. 001-41655) filed with the SEC on March 17, 2023, and incorporated herein by reference.
(3)
Previously filed as an exhibit to the Company’s Current Report on Form 8-K (File No. 001-41655) filed with the SEC on April 12, 2024, and incorporated herein by reference.
(4)
Previously filed as an exhibit to the Company’s Current Report on Form 8-K (File No. 001-41655) filed with the SEC on January 22, 2024, and incorporated herein by reference.
(5)
Submitted Electronically Herewith. Attached as Exhibit 101 to this report are the following formatted in inline XBRL (Extensible Business Reporting Language): (i) the Interim Condensed Consolidated Balance Sheets as of March 31, 2024 and June 30, 2023, (ii) the Interim Condensed Consolidated Statements of Operations and Comprehensive Loss for the Three and Nine Months ended March 31, 2024 and 2023, (iii) the Interim Condensed Consolidated Statements of Cash Flows for the Nine Months ended March 31, 2024 and 2023, (iv) the Interim Condensed Consolidated Statements of Shareholders’ (Deficit) Equity and Redeemable Noncontrolling Interest for the Three and Nine Months ended March 31, 2024 and 2023 and (v) the Notes to the Interim Condensed Consolidated Financial Statements.
33
SIGNATURES
Pursuant to the requirements of the Securities
Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
NIOCORP DEVELOPMENTS LTD.
(Registrant)
By:
/s/ Mark A. Smith
Mark A. Smith
President, Chief Executive Officer and
Executive Chairman
(Principal Executive Officer)
Date: May 2, 2024
By:
/s/ Neal Shah
Neal Shah
Chief Financial Officer
(Principal Financial and Accounting Officer)
Date: May 2, 2024
34
Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.