SEC Form 4 · accession 0001209191-15-075382
NEVADA GOLD & CASINOS INC · UWN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
William J Sherlock
Director
Period of report
Oct 13, 2015
Accepted (ET)
Oct 14, 2015 · 12:58 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000277058
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 31, 2015 | M | 10,000 | $1.25 | A | 110,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock (Right to Buy)F2,F3 | $1.25 | Oct 13, 2015 | M | 10,000 | D | Jul 28, 2009 | Jul 28, 2019 | Common Stock | 10,000 | 15,000 | D |
Explanation of responses
- F1The shares were issued upon Mr. Sherlock's exercise of an option to acquire 10,000 shares of common stock, as described in Table II.
- F2Pursuant to General Instruction 4(c)(iii) of Form 4, the exercise price is reported in column 2 of this Table II.
- F3Includes options to acquire 5,000 shares at $1.25, exercisable through July 28, 2019 and 10,000 shares at $1.57, exercisable through July 27, 2021.