SEC Form 4 · accession 0001209191-17-040150
GOLDEN ENTERTAINMENT, INC. · GDEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark A Lipparelli
Director
Period of report
Jun 13, 2017
Accepted (ET)
Jun 15, 2017 · 4:26 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001071255
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $20.06 | Jun 13, 2017 | A | 20,000 | A | — | Jun 12, 2027 | Common Stock | 20,000 | 20,000 | D |
| Stock Option (right to buy)F2 | $20.06 | Jun 13, 2017 | A | 3,070 | A | — | Jun 12, 2027 | Common Stock | 3,070 | 3,070 | D |
Explanation of responses
- F1The option vests on June 13, 2018. Notwithstanding the foregoing vesting schedule, in no event may the option be exercised prior to the earlier of (i) 08/01/18, or (ii) immediately prior to the consummation of a "change in control" under Section 2.8(a), (c) or (d) of the 2015 Incentive Award Plan which results in an "ownership change" as defined in Section 382 of the Internal Revenue Code of 1986, as amended, or any successor statute.
- F2The option vests in four quarterly installments beginning on September 13, 2017. Notwithstanding the foregoing vesting schedule, in no event may the option be exercised prior to the earlier of (i) 08/01/18, or (ii) immediately prior to the consummation of a "change in control" under Section 2.8(a), (c) or (d) of the 2015 Incentive Award Plan which results in an "ownership change" as defined in Section 382 of the Internal Revenue Code of 1986, as amended, or any successor statute.