SEC Form 4 · accession 0000907242-18-000003
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 30, 2017
Accepted (ET)
Mar 30, 2018 · 3:32 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 | Nov 30, 2017 | S | 100 | $47.25 | D | 1,763,340 | D | |
| Common Stock | Dec 1, 2017 | S | 9,941 | $46.25 | D | 1,763,340 | D | |
| Common Stock | Dec 4, 2017 | S | 14,519 | $46.27 | D | 1,763,340 | D | |
| Common Stock | Dec 6, 2017 | S | 440 | $46.25 | D | 1,763,340 | D | |
| Common Stock | Dec 26, 2017 | G | 3,643 | $0.00 | D | 1,763,340 | D | |
| Common Stock | Dec 26, 2017 | G | 607 | $0.00 | A | 272,654 | I | by trust |
| Common Stock | Dec 26, 2017 | G | 607 | $0.00 | A | 277,356 | I | by trust |
| Common Stock | Dec 26, 2017 | G | 607 | $0.00 | A | 277,356 | I | by trust |
| Common Stock | Dec 26, 2017 | G | 607 | $0.00 | A | 277,356 | I | by trust |
| Common Stock | Dec 26, 2017 | G | 1,215 | $0.00 | A | 1,215 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options/Right to Buy | $45.32 | holding | — | — | — | Nov 1, 2020 | Nov 1, 2027 | Common Stock | 66,668 | 466,668 | D |
| Options/Right to Buy | $23.08 | holding | — | — | — | Nov 1, 2019 | Nov 1, 2026 | Common Stock | 66,666 | 466,668 | D |
| Options/Right to Buy | $17.62 | holding | — | — | — | Oct 21, 2018 | Oct 21, 2025 | Common Stock | 66,666 | 466,668 | D |
| Options/Right to Buy | $12.32 | holding | — | — | — | Oct 21, 2017 | Oct 21, 2024 | Common Stock | 66,668 | 466,668 | D |
| Options/Right to Buy | $21.71 | holding | — | — | — | Oct 21, 2016 | Oct 21, 2023 | Common Stock | 66,666 | 466,668 | D |
| Options/Right to Buy | $8.56 | holding | — | — | — | Oct 9, 2015 | Oct 9, 2022 | Common Stock | 66,666 | 466,668 | D |
| Options/Right to Buy | $9.33 | holding | — | — | — | Oct 21, 2014 | Oct 21, 2021 | Common Stock | 66,668 | 466,668 | D |
Explanation of responses
- F1This transaction involves a gift of securities by Mr. Farahi to five separate trusts, of which Mr. Farahi is trustee, for benefit of children and grandchildren.