SEC Form 4 · accession 0001209191-16-134450
NEVADA GOLD & CASINOS INC · UWN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William J Sherlock
Director
Period of report
Jul 29, 2016
Accepted (ET)
Jul 29, 2016 · 4:27 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 | Jul 29, 2016 | M | 2,000 | $1.57 | A | 122,917 | 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 | $1.57 | Jul 29, 2016 | M | 2,000 | D | Jul 27, 2011 | Jul 27, 2021 | Common Stock | 2,000 | 8,000 | D |
Explanation of responses
- F1The shares were issued upon Mr. Sherlock's exercise of an option to acquire 2,000 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.
- F3Option to acquire 8,000 shares at $1.57, exercisable through July 27, 2021.