HL 10-K Annual Report Dec. 31, 2019 | Alphaminr
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HL 10-K Fiscal year ended Dec. 31, 2019

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HECLA MINING CO/DE/
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TABLE OF CONTENTS
Part IItem 1. BusinessItem 1A. Risk FactorsItem 1B. Unresolved Staff CommentsItem 2. PropertiesItem 3. Legal ProceedingsItem 4. Mine Safety DisclosuresPart IIItem 5. Market For Registrant S Common Equity, Related Stockholder Matters and Issuer Purchases Of Equity SecuritiesItem 6. Selected Financial DataItem 7. Management S Discussion and Analysis Of Financial Condition and Results Of OperationsItem 7A. Quantitative and Qualitative Disclosures About Market RiskItem 8. Financial Statements and Supplementary DataItem 9. Changes in and Disagreements with Accountants on Accounting and Financial DisclosuresItem 9A. Controls and ProceduresItem 9B. Other InformationPart IIIItem 10. Directors, Executive Officers and Corporate GovernanceItem 11. Executive CompensationItem 12. Security Ownership Of Certain Beneficial Owners and Management and Related Stockholder MattersItem 13. Certain Relationships and Related Transactions, and Director IndependenceItem 14. Principal Accountant Fees and ServicesPart IVItem 15. Exhibits and Financial Statement SchedulesItem 16. Form 10-k SummaryNote 1: Summary Of Significant Accounting PoliciesNote 2. InvestmentsNote 3: Properties, Plants, Equipment and Mineral Interests, and Lease CommitmentsNote 4: Environmental and Reclamation ActivitiesNote 5: Income TaxesNote 6: Debt, Credit Facility and LeasesNote 7: Commitments, Contingencies, and ObligationsNote 8: Employee Benefit PlansNote 9: Stockholders EquityNote 10: Derivative InstrumentsNote 11: Business Segments, Sales Of Products and Significant CustomersNote 12: Fair Value MeasurementNote 13: Loss Per Common ShareNote 14: Accumulated Other Comprehensive LossNote 15: AcquisitionsNote 16: Guarantor Subsidiaries

Exhibits

3.1 Restated Certificate of Incorporation of the Registrant. Filed as exhibit 3.1 to Registrants Form 10-Q for the period ended March 31, 2018 (File No. 1-8491), and incorporated herein by reference. 3.2 Bylaws of the Registrant as amended to date. Filed as exhibit 3.1 to Registrants Current Report on Form 8-K filed on December 13, 2019 (File No. 1-8491), and incorporated herein by reference. 4.1 Designations, Preferences and Rights of Series B Cumulative Convertible Preferred Stock of the Registrant. Included as Annex II to Restated Certificate of Incorporation of Registrant filed as exhibit 3.1 to Registrants Form 10-Q for the period ended March 31, 2018 (File No. 1-8491), and incorporated herein by reference. 4.2(a) Indenture dated as of April 12, 2013, among Hecla Mining Company, as Issuer, certain subsidiaries of Hecla Mining Company, as Guarantors thereto, and The Bank of New York Mellon Trust Company, N.A., as Trustee. Filed as exhibit 10.1 to Registrants Current Report on Form 8-K filed on April 15, 2013 (File No. 1-8491), and incorporated herein by reference. 4.2(b) Supplemental Indenture dated as of April 14, 2014, among Hecla Mining Company, as Issuer, certain subsidiaries of Hecla Mining Company, as Guarantors thereto, and The Bank of New York Mellon Trust Company, N.A., as Trustee. Filed as exhibit 4.2 to Registrants Registration Statement on Form S-3ASR filed on April 14, 2014 (Registration No. 333-195246), and incorporated herein by reference. 4.2(c) Supplemental Indenture dated as of August 5, 2015, among Hecla Mining Company, as Issuer, certain subsidiaries of Hecla Mining Company, as Guarantors thereto, and The Bank of New York Mellon Trust Company, N.A., as Trustee. Filed as exhibit 4.2(d) to Registrants Form 10-K for the year ended December 31, 2015 (File No. 1-8491), and incorporated herein by reference. 4.2(d) Supplemental Indenture dated as of October 26, 2016, among Hecla Mining Company, as Issuer, certain subsidiaries of Hecla Mining Company, as Guarantors thereto, and The Bank of New York Mellon Trust, N.A., as Trustee. Filed as exhibit 4.2(e) to Registrants Form 10-K for the year ended December 31, 2016 (File No. 1-8491), and incorporated herein by reference. 4.2(e) Supplemental Indenture dated as of November 30, 2018, among Hecla Mining Company, as Issuer, certain subsidiaries of Hecla Mining Company, as Guarantors thereto, and The Bank of New York Mellon Trust, N.A., as Trustee. Filed as exhibit 4.2(e) to Registrants Form 10-K for the year ended December 31, 2018 (File No. 1-8491), and incorporated herein by reference. 4.2(f) Supplemental Indenture dated as of September 16, 2019, among Hecla Quebec, Inc., as Guaranteeing Subsidiary, and The Bank of New York Mellon Trust, N.A., as Trustee. Filed as exhibit 4.2(f) to Registrants Form 10-Q for the period ended September 30, 2019 (File No. 1-8491), and incorporated herein by reference. 4.3(a) Registration Rights Agreement dated as of February 26, 2016, among Hecla Mining Company, as Issuer, the Hecla Mining Company Retirement Plan Trust, which is the funding vehicle for the Hecla Mining Company Retirement Plan, a tax-qualified employee benefit pension plan sponsored by Hecla Mining Company and the Lucky Friday Pension Plan Trust, which is the funding vehicle for the Lucky Friday Pension Plan. Filed as exhibit 4.1 to Registrants Registration Statement on Form S-3ASR filed on February 26, 2016 (Registration No. 333-208751), and incorporated herein by reference. 4.3(b) Registration Rights Agreement dated as of May 17, 2019, among Hecla Mining Company, as Issuer, the Hecla Mining Company Retirement Plan Trust, which is the funding vehicle for the Hecla Mining Company Retirement Plan, a tax-qualified employee benefit pension plan sponsored by Hecla Mining Company, and the Lucky Friday Pension Plan Trust, which is the funding vehicle for the Lucky Friday Pension Plan. Filed as exhibit 4.1 to Registrants Registration Statement on Form S-3ASR filed on May 17, 2019 (Registration No. 333-231583), and incorporated herein by reference. 4.4 Description of Securities.* 4.5(a) Warrant to Purchase 2,068,000 Common Shares of Hecla Mining Company dated July 20, 2018. * 4.5(b) Warrant to Purchase 2,068,000 Common Shares of Hecla Mining Company dated July 20, 2018. * 10.1 Fifth Amended and Restated Credit Agreement dated as of July 16, 2018, by and among Hecla Mining Company, Hecla Limited, Hecla Alaska LLC, Hecla Greens Creek Mining Company, and Hecla Juneau Mining Company, as the Borrowers, The Bank of Nova Scotia, as the Administrative Agent for the Lenders, and various Lenders. Filed as exhibit 10.1 to Registrants Current Report on Form 8-K filed on July 17, 2018 (File No. 1-8491), and incorporated herein by reference. 10.2 First Amendment to Fifth Amended and Restated Credit Agreement dated as of May 8, 2019, by and among Hecla Mining Company, certain subsidiaries of Hecla Mining Company, the Bank of Nova Scotia, as the Administrative Agent for the Lenders, and various Lenders. Filed as exhibit 10.2 to Registrants Current Report on Form 8-K filed on July 18, 2019 (File No. 1-8491), and incorporated herein by reference. 10.3 Second Amendment to Fifth Amended and Restated Credit Agreement dated as of July 15, 2019, by and among Hecla Mining Company, certain subsidiaries of Hecla Mining Company, the Bank of Nova Scotia, as the Administrative Agent for the Lenders, and various Lenders. Filed as exhibit 10.3 to Registrants Current Report on Form 8-K filed on July 18, 2019 (File No. 1-8491), and incorporated herein by reference. 10.4 Third Amendment to Fifth Amended and Restated Credit Agreement dated as of August 23, 2019, by and among Hecla Mining Company, certain subsidiaries of Hecla Mining Company, the Bank of Nova Scotia, as the Administrative Agent for the Lenders, and various Lenders. Filed as exhibit 10.2 to Registrants Form 10-Q for the period ended September 30, 2019 (File No. 1-8491), and incorporated herein by reference. 10.5 Form of Change of Control Agreement entered into on March 5, 2015, between Registrant and each of Phillips S. Baker, Jr. and David C. Sienko, on February 19, 2016 with Robert D. Brown, on July 18, 2016 with Lindsay A. Hall, and on August 5, 2019 with Lauren M. Roberts. Filed as exhibit 10.2 to Registrants Form 10-K for the year ended December 31, 2015 (File No. 1-8491), and incorporated herein by reference. (1) 10.6 Form of Indemnification Agreement dated November 8, 2006, between Registrant and Phillips S. Baker, Jr., Ted Crumley and George R. Nethercutt, Jr. Identical Indemnification Agreements were entered into between the Registrant and Charles B. Stanley and Terry V. Rogers on May 4, 2007, David C. Sienko on January 29, 2010, Lawrence P. Radford on October 19, 2011, Robert D. Brown on January 4, 2016, Stephen F. Ralbovsky and George R. Johnson on March 1, 2016, Lindsay A. Hall on July 18, 2016, Catherine J. Boggs on January 1, 2017, and Lauren M. Roberts on August 5, 2019. Filed as exhibit 10.7 to Registrants Form 10-Q for the period ended September 30, 2006 (File No. 1-8491), and incorporated herein by reference. 10.7 Hecla Mining Company Key Employee Deferred Compensation Plan. Filed as exhibit 10.4 to Registrants Form 10-K for the year ended December 31, 2017 (File No. 1-8491), and incorporated herein by reference. (1) 10.9 Hecla Mining Company Short-Term Incentive Plan . Filed as exhibit 10.1 to Registrants Form 10-Q for the quarter ended March 31, 2019 (File No. 1-8491), and incorporated herein by reference. (1) 10.10 Hecla Mining Company Executive and Senior Management Long-Term Performance Payment Plan (as Amended and Restated Effective January 1, 2017). Filed as exhibit 10.3 to Registrants Form 10-Q for the quarter ended March 31, 2017 (File No. 1-8491) and incorporated herein by reference. (1) 10.11 Hecla Mining Company Stock Plan for Nonemployee Directors, as amended. Filed as exhibit 10.3 to Registrants Form 10-Q for the quarter ended June 30, 2017 (File No. 1-8491) and incorporated herein by reference. (1) 10.12 Hecla Mining Company Retirement Plan for Employees and Supplemental Retirement and Death Benefit Plan. Filed as exhibit 10.17(a) to Registrants Form 10-K for the year ended December 31, 2008 (File No. 1-8491) and incorporated herein by reference. (1) 10.13 Supplemental Excess Retirement Master Plan Document. Filed as exhibit 10.5(b) to Registrants Annual Report on Form 10-K for the year ended December 31, 1994 (File No. 1-8491) and incorporated herein by reference. (1) 10.14 Hecla Mining Company Nonqualified Plans Master Trust Agreement. Filed as exhibit 10.5(c) to Registrants Annual Report on Form 10-K for the year ended December 31, 1994 (File No. 1-8491) and incorporated herein by reference. (1) 21 List of subsidiaries of Registrant. * 23.1 Consent of BDO USA, LLP. * 31.1 Certification pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. * 31.2 Certification pursuant to Section 302 of Sarbanes-Oxley Act of 2002. * 32.1 Certification pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. * 32.2 Certification pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. * 95 Mine safety information listed in Section 1503 of the Dodd-Frank Act. *