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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 | ||||||||
Employee Stock Option (right to buy) | $ 9.65 | 07/31/2017 | M | 15,475 | (6) | 06/20/2026 | Common Stock | 15,475 | $ 0 | 46,427 | D | ||||
Employee Stock Option (right to buy) | $ 9.65 | 07/31/2017 | M | 15,475 | (7) | 06/20/2026 | Common Stock | 15,475 | $ 0 | 46,427 | D | ||||
Employee Stock Option (right to buy) | $ 12.83 | 07/31/2017 | M | 21,872 | (8) | 04/26/2025 | Common Stock | 21,872 | $ 0 | 21,872 | D | ||||
Employee Stock Option (right to buy) | $ 16.03 | 07/31/2017 | M | 16,129 | (9) | 03/20/2024 | Common Stock | 16,129 | $ 0 | 5,377 | D | ||||
Employee Stock Option (right to buy) | $ 8.9 | 07/31/2017 | M | 33,730 | (10) | 03/21/2021 | Common Stock | 33,730 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Kennedy James C C/O SCIENTIFIC GAMES CORPORATION 6650 S. EL CAMINO ROAD LAS VEGAS, NV 89118 |
EVP & Grp Chief Exec Lottery |
/s/ McLaurin Files, attorney-in-fact for James C. Kennedy | 08/02/2017 | |
**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 transaction was executed in multiple trades at prices ranging from $37.00 to $37.28. The price reported above reflects the weighted average sale price. Details regarding aggregated sales transactions will be provided upon request by the Commission staff, the issuer or a security holder of the issuer. |
(2) | The transaction was executed in multiple trades at prices ranging from $37.08 to $37.28. The price reported above reflects the weighted average sale price. Details regarding aggregated sales transactions will be provided upon request by the Commission staff, the issuer or a security holder of the issuer. |
(3) | The transaction was executed in multiple trades at prices ranging from $37.00 to $37.08. The price reported above reflects the weighted average sale price. Details regarding aggregated sales transactions will be provided upon request by the Commission staff, the issuer or a security holder of the issuer. |
(4) | The transaction was executed in multiple trades at prices ranging from $37.00 to $37.23. The price reported above reflects the weighted average sale price. Details regarding aggregated sales transactions will be provided upon request by the Commission staff, the issuer or a security holder of the issuer. |
(5) | The transaction was executed in multiple trades at prices ranging from $37.05 to $37.15. The price reported above reflects the weighted average sale price. Details regarding aggregated sales transactions will be provided upon request by the Commission staff, the issuer or a security holder of the issuer. |
(6) | The option became exercisable as to 15,475 shares on March 20, 2017 and becomes exercisable on March 20, 2018 (15,476 shares), 2019 (15,475 shares) and 2020 (15,476 shares). |
(7) | Vesting of these options was contingent on the Company's Class A Common Stock attaining a rolling 60-trading day average closing price of $15.00 per share on or before March 20, 2020. The $15.00 average closing price was achieved on February 2, 2017. The option became exercisable as to 15,475 shares on March 20, 2017 and becomes exercisable on March 20, 2018 (15,476 shares), 2019 (15,475 shares) and 2020 (15,476 shares). |
(8) | The option became exercisable as to 10,936 shares on each of April 27, 2016 and 2017 and becomes exercisable as to 10,936 shares on each of April 27, 2018 and 2019. |
(9) | The option became exercisable on March 20, 2015 (5,376 shares), 2016 (5,377 shares) and 2017 (5,376 shares) and becomes exercisable as to 5,377 shares on March 20, 2018. |
(10) | The option became exercisable on March 22, 2012 (8,432 shares), 2013 (8,433 shares), 2014 (8,432 shares) and 2015 (8,433 shares). |