SEC Form 4 · accession 0001179110-15-014717
PENN Entertainment, Inc. · PENN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carl Sottosanti
Officer — SVP,Gen Counsel & Secretary
Period of report
Nov 6, 2015
Accepted (ET)
Nov 10, 2015 · 5:51 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000921738
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 6, 2015 | M | 30,000 | $4.98 | A | 46,493 | D | |
| Common StockF1 | Nov 6, 2015 | S | 30,000 | $17.70 | D | 16,493 | D | |
| Common StockF1 | Nov 6, 2015 | M | 11,980 | $7.72 | A | 28,473 | D | |
| Common StockF1 | Nov 6, 2015 | S | 11,980 | $17.70 | D | 16,493 | D | |
| Common StockF1 | Nov 6, 2015 | M | 3,020 | $7.72 | A | 19,513 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non Qualified Stock Options (right to buy) | $4.98 | Nov 6, 2015 | M | 30,000 | D | Jan 2, 2013 | Jan 2, 2016 | Common Stock | 30,000 | 0 | D |
| Non Qualified Stock Options (right to buy) | $7.72 | Nov 6, 2015 | M | 11,980 | D | Jan 12, 2010 | Jan 12, 2016 | Common Stock | 11,980 | 0 | D |
| Incentive Stock Options (right to buy) | $7.72 | Nov 6, 2015 | M | 3,020 | D | Jan 12, 2010 | Jan 12, 2016 | Common Stock | 3,020 | 0 | D |
Explanation of responses
- F1The options subject to the transactions reported on this Form 4 would have expired on January 2, 2016 or January 12, 2016, as applicable.