SEC Form 4 · accession 0001104659-15-021405
Affinity Gaming
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Walter Bogumil
Officer — Chief Financial Officer
Period of report
Mar 19, 2015
Accepted (ET)
Mar 20, 2015 · 4:19 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001499268
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 19, 2015 | A | 20,000 | $0.00 | A | 20,000 | 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 | $9.75 | Mar 19, 2015 | A | 30,000 | A | — | Mar 19, 2020 | Common Stock | 30,000 | 30,000 | D |
| Stock Option (Right to Buy)F3 | $9.75 | Mar 19, 2015 | A | 20,000 | A | — | Mar 19, 2020 | Common Stock | 20,000 | 20,000 | D |
Explanation of responses
- F1On March 19, 2015, the reporting person was issued 20,000 shares of time vested restricted stock of Affinity Gaming. The shares vest in 1/3 increments on March 31, 2016, March 31, 2017 and March 31, 2018.
- F250% of the options will become exercisable in 1/3 increments on March 31, 2016, March 31, 2017 and March 31, 2018, and 50% of the options vest upon the achievement of performance-based conditions.
- F3All of the options vest upon the achievement of performance-based conditions.