SEC Form 4 · accession 0001209191-18-002659
NEVADA GOLD & CASINOS INC · UWN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank Catania
Director
Period of report
Jan 5, 2018
Accepted (ET)
Jan 8, 2018 · 2:28 pm EST
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 | Jan 5, 2018 | M | 10,000 | $0.82 | A | 84,004 | 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 | $0.82 | Jan 5, 2018 | M | 10,000 | D | Oct 17, 2012 | Oct 17, 2022 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1The shares were issued upon Mr. Catania's exercise of an option to acquire 10,000 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.