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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 | ||||||||
Restricted Stock Units | (4) | 03/20/2018 | M | 25,907 | (4) | (4) | Common Stock | 25,907 | $ 0 | 51,813 | D | ||||
Employee Stock Option (right to buy) | $ 9.65 | 03/20/2018 | M | 22,100 | (5) | 06/20/2026 | Common Stock | 22,100 | $ 0 | 131,589 | D | ||||
Employee Stock Option (right to buy) | $ 9.65 | 03/20/2018 | M | 20,100 | (6) | 06/20/2026 | Common Stock | 20,100 | $ 0 | 133,589 | D | ||||
Employee Stock Option (right to buy) | $ 9.65 | 03/21/2018 | M | 3,250 | (5) | 06/20/2026 | Common Stock | 3,250 | $ 0 | 128,339 | D | ||||
Employee Stock Option (right to buy) | $ 9.65 | 03/21/2018 | M | 5,150 | (6) | 06/20/2026 | Common Stock | 5,150 | $ 0 | 128,439 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Isaacs Michael Gavin C/O SCIENTIFIC GAMES CORPORATION 6601 BERMUDA ROAD LAS VEGAS, NV 89119 |
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/s/ McLaurin Files, attorney-in-fact for M. Gavin Isaacs | 03/22/2018 | |
**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) | Represents the satisfaction of tax withholding obligations upon the vesting of restricted stock units. |
(2) | The transaction was executed in multiple trades at prices ranging from $45.20 to $45.55. 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 $45.20 to $45.40. 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) | Represents vesting of one-fourth of restricted stock units granted on June 21, 2016. The balance of the award is scheduled to vest on June 30, 2018. Each unit converts into a share of common stock on a one-for-one basis. |
(5) | The option became exercisable on March 20, 2017 (51,229 shares) and March 20, 2018 (51,230 shares) and is scheduled to become exercisable as to the remainder on June 30, 2018. |
(6) | Vesting of these options was contingent on the Company's Class A Common Stock attaining a trading day average closing price that was achieved on February 2, 2017. The option became exercisable as to 51,229 shares on March 20, 2017 and as to 51,230 shares on March 20, 2018. The balance of the award is scheduled to vest on June 30, 2018. Each unit converts into a share of common stock on a one-for-one basis. |