SEC Form 4 · accession 0001209191-16-145841
NEVADA GOLD & CASINOS INC · UWN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Victor Hugo Mena
Officer — Vice President
Period of report
Oct 12, 2016
Accepted (ET)
Oct 13, 2016 · 6:32 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 12, 2016 | A | 4,200 | $1.76 | A | 14,143 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock GrantF2 | — | Oct 12, 2016 | A | 4,200 | D | Oct 12, 2016 | Oct 12, 2018 | Common Stock $.12 Par Value ND | 4,200 | 8,400 | D |
Explanation of responses
- F1Non-restricted stock fully vested on grant.
- F2The remaining stock grant of 8,400 shares will vest in two equal annual installments in October, 2017 and 2018. If such criteria are not met, then the grant will automatically expire without any shares being issued.