SEC Form 4 · accession 0001209191-16-150167
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
Nov 10, 2016
Accepted (ET)
Nov 15, 2016 · 4:19 pm EST
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 | Nov 10, 2016 | M | 1,000,022 | $1.30 | A | 1,000,122 | D | |
| Common Stock | Nov 10, 2016 | M | 22,709 | $1.30 | A | 127,945 | I | By Subtrust |
| Common Stock | Nov 10, 2016 | M | 24,802 | $1.30 | A | 139,735 | I | By Trust |
| Common Stock | Nov 10, 2016 | M | 2,826 | $1.30 | A | 15,926 | I | As Custodian for Daughter |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Subscription Rights (right to buy) | $1.30 | Nov 10, 2016 | M | 1,000,022 | A | Oct 7, 2016 | Nov 4, 2016 | Common Stock | 1,000,022 | 0 | D |
| Subscription Rights (right to buy) | $1.30 | Nov 10, 2016 | M | 22,709 | A | Oct 7, 2016 | Nov 4, 2016 | Common Stock | 22,709 | 0 | I |
| Subscription Rights (right to buy) | $1.30 | Nov 10, 2016 | M | 24,802 | A | Oct 7, 2016 | Nov 4, 2016 | Common Stock | 24,802 | 0 | I |
| Subscription Rights (right to buy) | $1.30 | Nov 10, 2016 | M | 2,826 | A | Oct 7, 2016 | Nov 4, 2016 | Common Stock | 2,826 | 0 | I |
Explanation of responses
- F1Includes 1,000,000 shares purchased by Mr. Lee as the standby purchaser in connection with the issuer's $5.0 million rights offering.