SEC Form 4 · accession 0001209191-17-044322
NEVADA GOLD & CASINOS INC · UWN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank Catania
Director
Period of report
Jul 6, 2017
Accepted (ET)
Jul 7, 2017 · 1:45 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 6, 2017 | M | 7,500 | $0.82 | A | 69,599 | 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 | Jul 6, 2017 | M | 7,500 | D | Oct 17, 2012 | Oct 17, 2022 | Common Stock | 7,500 | 10,000 | D |
Explanation of responses
- F1The shares were issued upon Mr. Catania's exercise of an option to acquire 7,500 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 10,000 shares at $0.82, exercisable through October 17, 2022.