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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 | (2) | 11/01/2011 | M | 4,652 | (2) | (2) | Class A Common Stock | 4,652 | $ 0 | 0 | D | ||||
Restricted Stock Units | (3) | 11/01/2011 | M | 5,271 | (3) | (3) | Class A Common Stock | 5,271 | $ 0 | 0 | D | ||||
Restricted Stock Units | (4) | 11/01/2011 | M | 10,000 | (4) | (4) | Class A Common Stock | 10,000 | $ 0 | 0 | D | ||||
Restricted Stock Units | (5) | 11/01/2011 | M | 11,568 | (5) | (5) | Class A Common Stock | 11,568 | $ 0 | 0 | D | ||||
Restricted Stock Units | (6) | 11/01/2011 | M | 14,103 | (6) | (6) | Class A Common Stock | 14,103 | $ 0 | 0 | D | ||||
Restricted Stock Units | (7) | 11/01/2011 | M | 12,750 | (7) | (7) | Class A Common Stock | 12,750 | $ 0 | 0 | D | ||||
Restricted Stock Units | (7) | 11/01/2011 | M | 6,342 | (7) | (7) | Class A Common Stock | 6,342 | $ 0 | 0 | D | ||||
Restricted Stock Units | (7) | 11/01/2011 | M | 17,480 | (7) | (7) | Class A Common Stock | 17,480 | $ 0 | 0 | D | ||||
Restricted Stock Units | (7) | 11/01/2011 | M | 13,658 | (7) | (7) | Class A Common Stock | 13,658 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Raphaelson Ira H C/O SCIENTIFIC GAMES CORPORATION 750 LEXINGTON AVENUE, 19TH FLOOR NEW YORK, NY 10022 |
Sr. VP, International Affairs |
/s/ Jack Sarno, attorney-in-fact for Ira H. Raphaelson | 11/03/2011 | |
**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) | Represents accelerated vesting of unvested restricted stock units granted on February 27, 2007 pursuant to the terms of a separation agreement with the reporting person. Each unit converted into a share of common stock on a one-for-one basis. |
(3) | Represents accelerated vesting of unvested restricted stock units granted on February 26, 2008 pursuant to the terms of a separation agreement with the reporting person. Each unit converted into a share of common stock on a one-for-one basis. |
(4) | Represents accelerated vesting of unvested restricted stock units granted on October 7, 2008 pursuant to the terms of a separation agreement with the reporting person. Each unit converted into a share of common stock on a one-for-one basis. |
(5) | Represents accelerated vesting of unvested restricted stock units granted on February 23, 2009 pursuant to the terms of a separation agreement with the reporting person. Each unit converted into a share of common stock on a one-for-one basis. |
(6) | Represents accelerated vesting of unvested restricted stock units granted on February 22, 2010 pursuant to the terms of a separation agreement with the reporting person. Each unit converted into a share of common stock on a one-for-one basis. |
(7) | Represents accelerated vesting of unvested restricted stock units pursuant to the terms of a separation agreement with the reporting person. The restricted stock units were granted on August 16, 2011 pursuant to the issuer's option exchange program. Each unit converted into a share of common stock on a one-for-one basis. |