SEC Form 4 · accession 0001179110-16-027697

Entertainment Gaming Asia Inc. · EGT

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Jul 18, 2016

Accepted (ET)

Jul 18, 2016 · 10:30 am EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001004673

Table I — non-derivative securities

No Table I lines on this filing.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Options (right to buy)^F1,F2	$38.88	Mar 6, 2007	D	625	D	Sep 7, 2007	Mar 6, 2017	Common Stock	625	3,125	D
Options (right to buy)^F1,F2	$38.34	Mar 7, 2007	D	313	D	Sep 8, 2007	Mar 7, 2017	Common Stock	313	3,125	D
Options (right to buy)^F1,F2	$57.92	Jan 22, 2008	D	1,875	D	Jul 23, 2008	Jan 22, 2018	Common Stock	1,875	3,125	D
Options (right to buy)^F1,F2	$4.64	Jan 7, 2010	D	3,125	D	Jul 8, 2010	Jan 7, 2020	Common Stock	3,125	3,125	D
Options (right to buy)^F1,F2	$5.76	Feb 3, 2011	D	3,125	D	Aug 4, 2011	Feb 3, 2021	Common Stock	3,125	3,125	D
Options (right to buy)^F1,F2	$3.70	Jan 3, 2012	D	6,250	D	Jul 4, 2012	Jan 3, 2022	Common Stock	6,250	3,125	D
Options (right to buy)^F1,F2	$7.86	Jan 2, 2013	D	6,250	D	Jul 3, 2013	Jan 2, 2023	Common Stock	6,250	3,125	D
Options (right to buy)^F1,F2	$4.84	Jan 2, 2014	D	6,250	D	Jul 3, 2014	Jan 2, 2024	Common Stock	6,250	3,125	D
Options (right to buy)^F3	$1.94	Apr 29, 2016	A	27,813	A	Apr 29, 2017	Apr 28, 2026	Common Stock	27,813	30,938	D

F1On April 29, 2016, the Compensation Committee of the Board of Directors of the Company approved a voluntary stock option exchange program for its employees, directors and certain others, which became effective on July 18, 2016. Under the terms of the program, the participants had the opportunity to cancel certain of their existing underwater outstanding stock options (i.e., options with exercise prices that are higher than the current market trading price of the common stock) in exchange for a replacement option grant for an equal number of shares.
F2Represents options directly held by the reporting person, which are not being exchanged.
F3Represents replacement options which vest over three years, vesting 50% on the first anniversary and 25% on each of the second and third anniversaries of grant date.