SEC Form 4 · accession 0001209191-16-110542
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
Francis Michael Ricci
Director
Period of report
Mar 21, 2016
Accepted (ET)
Mar 25, 2016 · 12:41 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 | Mar 21, 2016 | S | 12,000 | $2.08 | D | 7,417 | D | |
| Common Stock | Mar 24, 2016 | M | 20,000 | $0.082 | A | 27,417 | 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 | $0.82 | Mar 24, 2016 | M | 20,000 | D | Oct 17, 2012 | Oct 17, 2022 | Common Stock | 20,000 | 20,000 | D |
Explanation of responses
- F1The shares were issued upon Mr. Ricci's exercise of an option to acquire 20,000 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 (1) 10,000 shares at $1.25, exercisable through July 28, 2019 and (2) 10,000 shares at $1.57, exercisable through July 27, 2021.