SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 07/01/2016 | 3. Issuer Name and Ticker or Trading Symbol Pinnacle Entertainment, Inc. [ PNK ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 50,811 | D | |
Common Stock | 1,164 | I | By 401(k) Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Options (Right to Buy) | (1) | 05/23/2023 | Common Stock | 32,000 | 10.19 | D | |
Stock Options (Right to Buy) | (2) | 04/28/2023 | Common Stock | 5,000 | 11.51 | D | |
Stock Options (Right to Buy) | (3) | 10/05/2022 | Common Stock | 7,431 | 10.55 | D | |
Stock Options (Right to Buy) | (4) | 05/20/2021 | Common Stock | 4,490 | 6.97 | D | |
Stock Options (Right to Buy) | (5) | 08/13/2020 | Common Stock | 16,000 | 6.5 | D | |
Stock Options (Right to Buy) | (6) | 05/21/2020 | Common Stock | 3,478 | 6.19 | D | |
Stock Options (Right to Buy) | (7) | 05/22/2019 | Common Stock | 6,000 | 2.86 | D | |
Stock Options (Right to Buy) | (8) | 09/15/2016 | Common Stock | 4,930 | 3.33 | D | |
Stock Options (Right to Buy) | (9) | 05/24/2018 | Common Stock | 6,000 | 4.22 | D | |
Stock Options (Right to Buy) | (10) | 07/20/2017 | Common Stock | 8,900 | 3 | D | |
Stock Options (Right to Buy | (11) | 06/06/2018 | Common Stock | 10,000 | 3.92 | D | |
Stock Options (Right to Buy) | (12) | 05/20/2018 | Common Stock | 7,000 | 4.35 | D |
Explanation of Responses: |
1. The stock options vest and become exercisable in four equal annual installments beginning on May 23, 2017. |
2. The stock options vest and become exercisable in four equal annual installments beginning on April 28, 2017. |
3. The stock options vest and become exercisable in four annual installments beginning on October 5, 2016. The stock options become exercisable as to 1,858 shares of common stock on October 5, 2016, October 5, 2017 and October 5, 2018, respectively. The stock options become exercisable as to the remaining 1,857 shares of common stock on October 5, 2019. |
4. The stock options vest and become exercisable in four annual installments beginning on May 20, 2015. The stock options became exercisable as to 1,222 shares of common stock on May 20, 2015 and May 20, 2016, respectively. The stock options become exercisable as to 1,123 shares of common stock on May 20, 2017, and May 20, 2018, respectively. |
5. The stock options vest and become exercisable in four annual installments beginning on August 13, 2014. The stock options became exercisable as 4,000 shares on August 13, 2014 and August 13, 2015, respectively. The stock options become exercisable as to 4,000 shares of common stock on August 13, 2016 and August 13, 2017, respectively. |
6. The stock options vest and become exercisable in four annual installments beginning on May 21, 2014. The stock options became exercisable as to 869 shares of common stock on May 21, 2014, 870 shares of common stock on May 21, 2015, and 869 shares of common stock on May 21, 2016. The stock options become exercisable as to the remaining 870 shares of common stock on May 21, 2017. |
7. The stock options vested and became exercisable in four equal annual installments beginning on May 22, 2013. As of the date of this Form 3, the stock options are fully vested and exercisable. |
8. The stock options vested and became exercisable on September 9, 2012. As of the date of this Form 3, the stock options are fully vested and exercisable. |
9. The stock options vested and became exercisable in four equal annual installments beginning on May 24, 2012. As of the date of this Form 3, the stock options are fully vested and exercisable. |
10. The stock options vested and became exercisable in four equal annual installments beginning on July 20, 2011. As of the date of this Form 3, the stock options are fully vested and exercisable. |
11. The stock options vested and became exercisable in four equal annual installments beginning on June 6, 2009. As of the date of this Form 3, the stock options are fully vested and exercisable. |
12. The stock options vested and became exercisable in four equal annual installments beginning on May 20, 2009. As of the date of this Form 3, the stock options are fully vested and exercisable. |
Remarks: |
/s/ Elliot D. Hoops, Attorney-In-Fact for Donna S. Negrotto | 07/01/2016 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |