Filing Details
- Accession Number:
- 0001415889-24-023394
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2024-09-13 18:27:22
- Reporting Period:
- 2024-09-11
- Accepted Time:
- 2024-09-13 18:27:22
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 891482 | Full House Resorts Inc | FLL | Hotels & Motels (7011) | 133391527 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1209589 | R Daniel Lee | C/O Full House Resorts, Inc. 1980 Festival Plaza Drive, Suite 680 Las Vegas NV 89135 | President & Ceo | No | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2024-09-11 | 718,834 | $1.25 | 1,769,674 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2024-09-11 | 180,794 | $4.97 | 1,588,880 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2024-09-13 | 8,954 | $1.25 | 1,597,834 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2024-09-13 | 8,954 | $5.08 | 1,588,880 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2024-09-11 | 718,834 | $0.00 | 718,834 | $1.25 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2024-09-13 | 8,954 | $0.00 | 8,954 | $1.25 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 225,000 | 2024-11-28 | No | 4 | M | Direct | |
| 216,046 | 2024-11-28 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 145,735 | Indirect | By trust |
| Common Stock | 132,945 | Indirect | By subtrust |
| Common Stock | 15,926 | Indirect | As custodian for daughter |
Footnotes
- The exercise of the stock options reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2024.
- Shares withheld to cover the exercise price of the stock options.
- The shares were sold by the reporting person to generate proceeds used to satisfy the tax withholding obligation and the exercise price of the transactions reported on this Form 4.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.00 to $5.12, inclusive. The reporting person undertakes to provide to Full House Resorts, Inc., any stockholder of Full House Resorts, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The stock option fully vested on November 28, 2018.
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