SEC Form 4 · accession 0001445866-17-000500
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
Jan 26, 2017
Accepted (ET)
Apr 20, 2017 · 12:05 pm EDT
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 | Jan 26, 2017 | S | 7,768 | $0.605 | D | 32,232 | I | FOOTNOTE |
| Common StockF1 | Jan 31, 2017 | S | 4,402 | $0.605 | D | 27,830 | I | FOOTNOTE |
| Common StockF1 | Feb 2, 2017 | S | 48 | $0.605 | D | 27,782 | I | FOOTNOTE |
| Common StockF1 | Feb 8, 2017 | S | 97 | $0.605 | D | 27,685 | I | FOOTNOTE |
| Common StockF1 | Feb 10, 2017 | S | 400 | $0.605 | D | 27,285 | I | FOOTNOTE |
| Common StockF1 | Feb 13, 2017 | S | 1,800 | $0.605 | D | 25,485 | I | FOOTNOTE |
| Common StockF1 | Feb 17, 2017 | S | 6,000 | $0.605 | D | 19,485 | I | FOOTNOTE |
| Common StockF1 | Feb 21, 2017 | S | 5,000 | $0.63 | D | 14,485 | I | FOOTNOTE |
| Common StockF1 | Feb 21, 2017 | S | 7,000 | $0.62 | D | 7,485 | I | FOOTNOTE |
| Common StockF1 | Feb 21, 2017 | S | 6,000 | $0.6455 | D | 1,485 | I | FOOTNOTE |
| Common StockF1 | Feb 22, 2017 | S | 580 | $0.605 | D | 905 | I | FOOTNOTE |
| Common StockF1 | Feb 23, 2017 | S | 905 | $0.62 | D | 0 | I | FOOTNOTE |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares sold were owned by Carpathia Associates, LLC. Mr. Saucier is the sole manager and an owner of Carpathia Associates, LLC, and has voting and dispositive control over the shares. The shares sold were acquired by Carpathia Associates, LLC, on April 22, 2015. A prior Form 4 reported an incorrecte date of acquisition of the shares; that Form 4 was subsequently amended.