SEC Form 4 · accession 0001209191-18-049130
GOLDEN ENTERTAINMENT, INC. · GDEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sean T Higgins
Officer — Executive VP and CLO
Period of report
Aug 31, 2018
Accepted (ET)
Aug 31, 2018 · 6:40 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001071255
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stock | Aug 31, 2018 | M | 17,188 | $8.86 | A | 27,063 | D | |
| Common stock | Aug 31, 2018 | F | 5,348 | $28.47 | D | 21,715 | D | |
| Common stockF1 | Aug 31, 2018 | S | 11,840 | $28.86 | D | 9,875 | D |
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)F2 | $8.86 | Aug 31, 2018 | M | 17,188 | D | — | Mar 27, 2026 | Common Stock | 17,188 | 132,812 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.82 to $28.99. The reporting person undertakes to provide to Golden Entertainment, Inc., any security holder of Golden Entertainment, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to Form 4.
- F2The options, representing a right to purchase a total of 150,000 shares of common stock, became exercisable 1/4 of the total number of shares on 03/28/17, and 1/48 of the total number of shares on the last day of each one-month period following 03/28/17.