SEC Form 4/A · accession 0001209191-16-113701
NEVADA GOLD & CASINOS INC · UWN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Francis Michael Ricci
Director
Period of report
Mar 21, 2016
Accepted (ET)
Apr 8, 2016 · 12:30 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 | $0.82 | 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.
Remarks
Due to an inadvertent clerical error the original Form 4 provided an incorrect price in Table I for the 20,000 shares acquired on 03/24/2016.