SEC Form 4 · accession 0001209191-18-055326
NEVADA GOLD & CASINOS INC · UWN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ernest E East
Officer — CCO
Period of report
Oct 17, 2018
Accepted (ET)
Oct 17, 2018 · 4:46 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 17, 2018 | A | 4,000 | $2.41 | A | 19,000 | 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 17, 2018 | A | 4,000 | D | Oct 17, 2018 | Oct 17, 2020 | Common Stock $.12 Par Value ND | 4,000 | 8,000 | D |
Explanation of responses
- F1Non-restricted stock fully vested on grant.
- F2The remaining stock grant of 8,000 shares will vest in two equal annual installments in October, 2019 and 2020. If such criteria are not met, then the grant will automatically expire without any shares being issued.