SEC Form 4 · accession 0001209191-16-139030
FULL HOUSE RESORTS INC · FLL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel R Lee
Officer — Chief Executive Officer · Director
Period of report
Aug 25, 2016
Accepted (ET)
Aug 29, 2016 · 6:05 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000891482
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 25, 2016 | J | 100,236 | — | D | 133,133 | D | |
| Common StockF1 | Aug 25, 2016 | J | 31,943 | — | D | 101,190 | D | |
| Common StockF1 | Aug 25, 2016 | J | 8,100 | — | D | 93,090 | D | |
| Common StockF1 | Aug 25, 2016 | J | 100,236 | — | A | 193,326 | I | By Trust |
| Common StockF1 | Aug 25, 2016 | J | 31,943 | — | A | 225,269 | I | By Trust |
| Common StockF1 | Aug 25, 2016 | J | 8,100 | — | A | 233,369 | I | As Custodian for Daughter |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1All transfers of shares were completed for estate planning purposes. Mr. Lee's total beneficial ownership of the common stock of Full House Resorts, Inc. (the "Company") remains unchanged. The Company's common stock was valued at $1.85 per share, the closing price on August 24, 2016.
- F2Transfer to a subtrust for the benefit of Mr. Lee's children.
- F3Transfer to a family trust for the benefit of Mr. Lee's children.
- F4Represents a transfer of shares to an account for the benefit of Mr. Lee's daughter previously established pursuant to the Massachusetts Uniform Transfer to Minors Act.