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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 | ||||||||
Non-Qualified Stock Option Right to Buy) | $ 19.47 | 10/16/2009 | M | 3,391 | (2) | 10/25/2016 | Common Stock, par value $.10 per share | 3,391 | $ 0 (3) | 109 | D | ||||
Non-Qualified Stock Option (Right to Buy) | $ 42.54 | 10/16/2009 | A | 6,000 | (5) | 10/16/2016 | Common Stock, par value $.10 per share | 6,000 | $ 0 (3) | 6,000 | D | ||||
Non-Qualified Stock Option (Right to Buy) | $ 19.47 | 10/19/2009 | M | 109 | (2) | 10/25/2016 | Common Stock, par value $.10 per share | 109 | $ 0 (3) | 0 | D | ||||
Non-Qualified Stock Option (Right to Buy) | $ 23.47 | 10/19/2009 | M | 2,500 | (6) | 03/08/2017 | Common Stock, par value $.10 per share | 2,500 | $ 0 (3) | 0 | D | ||||
Non-Qualified Stock Option (Right to Buy) | $ 32.62 | 10/19/2009 | M | 2,000 | (7) | 04/14/2015 | Common Stock, par value $.10 per share | 2,000 | $ 0 (3) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Davidson Neil 6601 S. BERMUDA ROAD LAS VEGAS, NV 89119 |
VP, CAO |
/s/Neil Davidson | 10/20/2009 | |
**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) | The sales were pursuant to a Rule 10b5-1 Trading Agreement dated September 15, 2009. |
(2) | The options vest as follows: (i) 2,750 on 10/25/2007; (ii) 2,750 on 10/25/2008; (iii) 2,750 on 10/25/2009; and (iv) 2,750 on 10/25/2010. |
(3) | Granted as compensation for services. |
(4) | Restricted Stock vests as follows: (i) 1,000 shares on 10/16/2011; (ii) 500 shares on 10/16/2012; and (iii) 500 shares on 10/16/2013. |
(5) | Stock Options vest as follows: (i) 3,000 shares on 10/16/2011; (ii) 1,500 shares on 10/16/2012; and (iii) 1,500 shares on 10/16/2013. |
(6) | The options vest as follows: (i) 1,250 on 3/08/2008; (ii) 1,250 on 3/08/2009; (iii) 1,250 on 3/08/2010; and (iv) 1,250 on 3/08/2011. |
(7) | The options vest as follows: (i) 2,000 on 4/14/2009; (ii) 2,000 on 4/14/2010; (iii) 2,000 on 4/14/2011; and (iv) 2,000 on 4/14/2012. |
(8) | Includes 96 shares acquired under the Bally Technologies, Inc. Employee Stock Purchase Plan on August 31, 2009. |