SEC Form 4 · accession 0000907242-16-000027
MONARCH CASINO & RESORT INC · MCRI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Farahi
Officer — CEO · Director · 10% Owner
Period of report
Nov 1, 2016
Accepted (ET)
Nov 3, 2016 · 2:37 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000907242
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 1,791,983 | D | ||
| Common Stock | holding | — | — | — | 272,047 | I | by trust | |
| Common Stock | holding | — | — | — | 276,749 | I | by trust | |
| Common Stock | holding | — | — | — | 276,749 | I | by trust | |
| Common Stock | holding | — | — | — | 276,749 | I | by trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option/Right to Buy | $23.08 | Nov 1, 2016 | A | 66,666 | A | Nov 1, 2019 | Nov 1, 2026 | Common Stock | 66,666 | 466,668 | D |
| Option/Right to Buy | $17.62 | holding | — | — | — | Oct 21, 2018 | Oct 21, 2025 | Common Stock | 66,666 | 466,668 | D |
| Option/Right to Buy | $12.32 | holding | — | — | — | Oct 21, 2017 | Oct 21, 2024 | Common Stock | 66,668 | 466,668 | D |
| Option/Right to Buy | $21.71 | holding | — | — | — | Oct 21, 2016 | Oct 21, 2023 | Common Stock | 66,666 | 466,668 | D |
| Option/Right to Buy | $8.56 | holding | — | — | — | Oct 9, 2015 | Oct 9, 2022 | Common Stock | 66,666 | 466,668 | D |
| Option/Right to Buy | $9.33 | holding | — | — | — | Oct 21, 2014 | Oct 21, 2021 | Common Stock | 66,668 | 466,668 | D |
| Option/Right to Buy | $29.00 | holding | — | — | — | Oct 21, 2010 | Oct 21, 2017 | Common Stock | 66,668 | 466,668 | D |