SEC Form 4 · accession 0001445866-17-000162
Galaxy Gaming, Inc. · GLXZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert B. Saucier
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Nov 15, 2016
Accepted (ET)
Feb 16, 2017 · 3:05 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000013156
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 15, 2016 | P | 40,000 | $0.33 | A | — | I | FOOTNOTE |
| Common StockF2 | holding | — | — | — | 23,666,667 | I | FOOTNOTE |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares are held by Carpathia Associates, LLC. Mr. Saucier is the sole manager and an owner of Carpathia Associates, LLC. Mr. Saucier has voting and dispositive control over securities held by Carpathia Associates, LLC.
- F2Triangulum Partners, LLC is the holder of record of 23,666,667 shares. Mr. Saucier is the sole manager and an owner of Triangulum Partners, LLC. Mr. Saucier has voting and dispositive control over securities held by Triangulum Partners, LLC.