SEC Form 4 · accession 0001205793-17-000002
DOVER DOWNS GAMING & ENTERTAINMENT INC · DDE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy R Horne
Officer — Sr. VP - Finance, Treas. & CFO · Director
Period of report
Jan 3, 2017
Accepted (ET)
Jan 5, 2017 · 2:37 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001162556
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $.10 par valueF1 | Jan 3, 2017 | A | 12,000 | $0.00 | A | 133,643 | D | |
| Common Stock, $.10 par valueF1 | Jan 4, 2017 | F | 4,878 | $1.05 | D | 128,765 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares granted January 3, 2017 vest one-fifth per year beginning on the second anniversary of the grant date. Out of total securities beneficially owned in Column 5, 48,000 represent shares of restricted stock granted under the Company's Incentive Stock Plan in transactions exempt under Rule 16b-3 which have not yet vested (beneficial ownership in unvested shares is disclaimed for Section 16 purposes).