UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy) | (1) | 05/05/2025 | Common Stock | 20,000 | $ 1.51 | D | |
Employee Stock Option (Right to Buy) | (2) | 09/10/2029 | Common Stock | 30,000 | $ 1.97 | D | |
Employee Stock Option (Right to Buy) | (3) | 06/11/2030 | Common Stock | 30,000 | $ 1.73 | D | |
Employee Stock Option (Right to Buy) | (4) | 05/19/2031 | Common Stock | 30,000 | $ 9.52 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Ferrucci John C/O FULL HOUSE RESORTS, INC. 1980 FESTIVAL PLAZA DRIVE, SUITE 680 LAS VEGAS, NV 89135 |
Chief Operating Officer |
/s/ Elaine Guidroz, Attorney-in-Fact | 03/16/2022 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | This option is fully vested. |
(2) | Two-thirds of this option is fully vested, and the remainder vests on September 10, 2022. |
(3) | One-third of this option is fully vested, one-third vests on June 11, 2022, and one-third vests on June 11, 2023. |
(4) | This option vests in three equal annual installments beginning on May 19, 2022. |
Remarks: Exhibit List: Exhibit 24 - Limited Power of Attorney |