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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Options (Right to Buy) | $ 10.19 | 12/20/2017 | M | 24,000 | (1) | 05/23/2023 | Common Stock | 24,000 | $ 0 | 8,000 | D | ||||
Stock Options (Right to Buy) | $ 11.51 | 12/20/2017 | M | 1,250 | (2) | 04/28/2023 | Common Stock | 1,250 | $ 0 | 3,750 | D | ||||
Stock Options (Right to Buy) | $ 10.55 | 12/20/2017 | M | 3,716 | (3) | 10/05/2022 | Common Stock | 3,716 | $ 0 | 3,715 | D | ||||
Stock Options (Right to Buy) | $ 6.97 | 12/20/2017 | M | 3,367 | (4) | 05/20/2021 | Common Stock | 3,367 | $ 0 | 1,123 | D | ||||
Stock Options (Right to Buy) | $ 6.5 | 12/20/2017 | M | 16,000 | (5) | 08/13/2020 | Common Stock | 16,000 | $ 0 | 0 | D | ||||
Stock Options (Right to Buy) | $ 6.19 | 12/20/2017 | M | 3,478 | (6) | 05/21/2020 | Common Stock | 3,478 | $ 0 | 0 | D | ||||
Stock Options (Right to Buy) | $ 2.86 | 12/20/2017 | M | 6,000 | (7) | 05/22/2019 | Common Stock | 6,000 | $ 0 | 0 | D | ||||
Stock Options (Right to Buy) | $ 4.22 | 12/20/2017 | M | 6,000 | (8) | 05/24/2018 | Common Stock | 6,000 | $ 0 | 0 | D | ||||
Stock Options (Right to Buy) | $ 3.92 | 12/20/2017 | M | 10,000 | (9) | 06/06/2018 | Common Stock | 10,000 | $ 0 | 0 | D | ||||
Stock Options (Right to Buy) | $ 4.35 | 12/20/2017 | M | 7,000 | (10) | 05/20/2018 | Common Stock | 7,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Negrotto Donna S C/O PINNACLE ENTERTAINMENT, INC. 3980 HOWARD HUGHES PARKWAY LAS VEGAS, NV 89169 |
EVP, Sec. and General Counsel |
/s/ Elliot D. Hoops, Attorney-In-Fact for Donna S. Negrotto | 12/22/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The stock options were originally scheduled to vest and become exercisable in four equal annual installments beginning on May 23, 2017. The stock options vested and became exercisable as to 8,000 shares of common stock on May 23, 2017. The Compensation Committee of the issuer accelerated vesting of 16,000 stock options to December 17, 2017, which were originally scheduled to vest and become exercisable as to 8,000 stock options on May 23, 2018 and on May 23, 2019, respectively. The stock options vest and become exercisable as to the remaining 8,000 shares of common stock on May 23, 2020. |
(2) | The stock options vest and become exercisable in four equal annual installments beginning on April 28, 2017. The stock options vested and became exercisable as to 1,250 shares on April 28, 2017. The stock options vest and become exercisable as to 1,250 shares of common stock on April 28, 2018, April 28, 2019 and April 28, 2020, respectively. |
(3) | The stock options vest and become exercisable in four annual installments beginning on October 5, 2016. The stock options vested and became exercisable as to 1,858 shares of common stock on October 5, 2016 and October 5, 2017, respectively. The stock options vest and become exercisable as to 1,858 shares of common stock on October 5, 2018 and as to the remaining 1,857 shares of common stock on October 5, 2019. |
(4) | The stock options vest and become exercisable in four annual installments beginning on May 20, 2015. The stock options vested and became exercisable as to 1,222 shares of common stock on May 20, 2015 and May 20, 2016, respectively, and vested and became exercisable as to 1,123 shares of common stock on May 20, 2017. The stock options vest and become exercisable as to the remaining 1,123 shares of common stock on May 20, 2018. |
(5) | The stock options vested and became exercisable in four equal annual installments beginning on August 13, 2014. |
(6) | The stock options vested and became exercisable in four equal annual installments beginning on May 21, 2014. |
(7) | The stock options vested and became exercisable in four equal annual installments beginning on May 22, 2013. |
(8) | The stock options vested and became exercisable in four equal annual installments beginning on May 24, 2012. |
(9) | The stock options vested and became exercisable in four equal annual installments beginning on June 6, 2009. |
(10) | The stock options vested and became exercisable in four equal annual installments beginning on May 20, 2009. |