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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) | $ 2.35 (1) | 01/13/2009(2) | A | 200,000 | 01/13/2009(3) | 01/12/2019(4) | Common Stock | 200,000 | $ 0 | 200,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROEMER MICK C/O MULTIMEDIA GAMES, INC. 206 WILD BASIN ROAD, BLDG. B, SUITE 400 AUSTIN, TX 78746 |
SENIOR VICE PRESIDENT OF SALES |
/s/ Mick Roemer | 01/28/2009 | |
**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) | This Form 4/A is being filed in order to correct the exercise price of the option which was originally reported as $2.06 in the reporting person's Form 4 report filed on January 27, 2009. The correct exercise price is $2.35. |
(2) | The reporting person's original Form 4 report incorrectly reported the transaction date as January 14, 2009. This Form 4/A report reflects the option's correct transaction date of January 13, 2009. |
(3) | The reporting person's original Form 4 report incorrectly reported a date exercisable of January 14, 2009. This Form 4/A report reflects the option's correct date exercisable of January 13, 2009. The option is issued pursuant to the Issuer's 2008 Employment Inducement Award Plan. The option is immediately exercisable, but the option shares are initially unvested and will vest 25% after one year, and will continue to vest in equal quarterly installments during each of the following three years. |
(4) | The reporting person's original Form 4 report incorrectly reported an expiration date of January 13, 2019. This Form 4/A report reflects the option's correct expiration date of January 12, 2019. |