HL 10-K Annual Report Dec. 31, 2020 | Alphaminr
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HL 10-K Fiscal year ended Dec. 31, 2020

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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 5. Market For RegistrantItem 6. Selected Financial DataItem 7. Management S Discussion and Analysis Of Financial Condition and Results Of OperationsItem 7. ManagementItem 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: The CompanyNote 2: Summary Of Significant Accounting PoliciesNote 3. InvestmentsNote 4: Properties, Plants, Equipment and Mineral Interests, and Lease CommitmentsNote 5: Environmental and Reclamation ActivitiesNote 6: Income TaxesNote 7: Debt, Credit Facility and LeasesNote 8: Commitments, Contingencies, and ObligationsNote 9: Employee Benefit PlansNote 10: Stockholders EquityNote 10: StockholdersNote 11: Derivative InstrumentsNote 12: Business Segments, Sales Of Products and Significant CustomersNote 13: Fair Value MeasurementNote 14: Loss Per Common ShareNote 15: Accumulated Other Comprehensive LossNote 16: Acquisitions

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 Indenture dated as of February 19, 2020, by and among Hecla Mining Company and The Bank of New York Mellon Trust Company, N.A., as trustee. Filed as exhibit 4.1 to Registrants Current Report on Form 8-K filed on February 19, 2020 (File No. 1-8491) and incorporated herein by reference. 4.3 First Supplemental Indenture, dated as of February 19, 2020, by and among Hecla Mining Company, the Guarantors named therein and The Bank of New York Mellon Trust Company, N.A., as trustee. Filed as exhibit 4.2 to Registrants Form 8-K filed on February 19, 2020 (File No. 1-8491) and incorporated herein by reference. 4.4 Registration Rights Agreement dated as of April 9, 2020, among Hecla Mining Company, as Issuer, and 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 April 10, 2020 (Registration No. 333-237631) and incorporated herein by reference. 4.5 Registration Rights Agreement dated as of August 18, 2020, among Hecla Mining Company, as Issuer, and 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 September 23, 2020 (Registration No. 333-248973) and incorporated herein by reference. 4.6 Registration Rights Agreement dated as of November 19, 2020, among Hecla Mining Company, as Issuer, and 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. * 4.7 Form of 7.250% Senior Note due 2028. Filed as exhibit 4.2 to Registrants Form 8-K filed on February 19, 2020 (File No. 1-8491) and incorporated herein by reference. 4.8 Description of Securities.* 10.1 Fourth Amendment to Fifth Amended and Restated Credit Agreement dated as of February 7, 2020, 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 10.1 to Registrants Form 10-Q for the period ended March 31, 2020 (File No. 1-8491), and incorporated herein by reference. 10.2 Supplement to Security Agreement dated October 7, 2020, by and among Hecla Mining Company, the Bank of Nova Scotia, as the Administrative Agent for the Lenders, and various Lenders. Filed as exhibit 10.6 to Registrants Current Report on Form 8-K filed on October 8, 2020 (File No. 1-8491) and incorporated herein by reference. 10.3 Note Purchase Agreement, dated July 9, 2020, among Hecla Mining Company, as Issuer, certain subsidiaries of Hecla Mining Company, as Guarantors thereto, and Investissement Quebec. Filed as exhibit 10.1 to Registrants Current Report on Form 8-K filed on July 10, 2020 (File No. 1-8491), and incorporated herein by reference. 10.4 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, on August 5, 2019 with Lauren M. Roberts, and on March 1, 2020 with Michael L. Clary. 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) 10.5 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, 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, Lauren M. Roberts on August 5, 2019, and Michael L. Clary on March 1, 2020. 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. (1) 10.6 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) 10.8 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) 10.9 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. 8491) and incorporated herein by reference. (1) 10.10 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) 10.11 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) 10.12 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) 10.13 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) 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. *