BALLY TECHNOLOGIES, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 37 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-12-19: Reporting owner HADDRILL RICHARD M; Form 4; Security Employee Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-12-12: Reporting owner LERNER MARK; Form 4; Security Employee Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-12-12: Reporting owner LERNER MARK; Form 4; Security Employee Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-11-20: Reporting owner HADDRILL RICHARD M; Form 4; Security Employee Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-12-19 | HADDRILL RICHARD M Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $41.60 exercise price | 2013-12-23 | |
| 2013-12-12 | LERNER MARK Officer (SVP, Secretary) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −500 500 owned after | $37.76 exercise price | 2013-12-16 | |
| 2013-12-12 | LERNER MARK Officer (SVP, Secretary) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,500 0 owned after | $42.54 exercise price | 2013-12-16 | |
| 2013-11-20 | HADDRILL RICHARD M Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 10,000 owned after | $41.60 exercise price | 2013-11-22 | |
| 2013-10-16 | HADDRILL RICHARD M Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 20,000 owned after | $41.60 exercise price | 2013-10-18 | |
| 2013-09-24 holding as of filing | Connelly John Officer (VP, Business Development) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $37.85 exercise price | 2013-09-24 | ||
| 2013-09-18 | HADDRILL RICHARD M Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 30,000 owned after | $41.60 exercise price | 2013-09-20 | |
| 2013-08-20 | HADDRILL RICHARD M Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 40,000 owned after | $41.60 exercise price | 2013-08-21 | |
| 2013-08-19 | Mooberry Derik Officer (SVP, Games) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 0 owned after | $12.07 exercise price | 2013-08-21 | |
| 2013-08-19 | Mooberry Derik Officer (SVP, Games) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $20.32 exercise price | 2013-08-21 | |
| 2013-08-19 | Mooberry Derik Officer (SVP, Games) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,000 0 owned after | $34.61 exercise price | 2013-08-21 | |
| 2013-08-19 | Mooberry Derik Officer (SVP, Games) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,625 1,875 owned after | $32.62 exercise price | 2013-08-21 | |
| 2013-08-19 | Mooberry Derik Officer (SVP, Games) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 2,000 owned after | $38.20 exercise price | 2013-08-21 | |
| 2013-08-19 | Mooberry Derik Officer (SVP, Games) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 3,000 owned after | $37.76 exercise price | 2013-08-21 | |
| 2013-08-19 | LERNER MARK Officer (SVP, Secretary) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,500 1,500 owned after | $42.54 exercise price | 2013-08-21 | |
| 2013-06-28 | VERNER KEVIN Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 0 owned after | $24.65 exercise price | 2013-07-01 | |
| 2013-06-27 | HADDRILL RICHARD M Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $23.04 exercise price | 2013-07-01 | |
| 2013-05-23 | HADDRILL RICHARD M Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 10,000 owned after | $23.04 exercise price | 2013-05-28 | |
| 2013-05-17 | VERNER KEVIN Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 25,000 owned after | $24.65 exercise price | 2013-05-21 | |
| 2013-05-08 | VERNER KEVIN Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 45,000 owned after | $24.65 exercise price | 2013-05-09 | |
| 2013-04-26 | DAVID ROBBINS Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 0 owned after | $24.65 exercise price | 2013-04-29 | |
| 2013-04-26 | HADDRILL RICHARD M Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 20,000 owned after | $23.04 exercise price | 2013-04-29 | |
| 2013-04-25 | Davidson Neil Officer (SVP, CFO & Treasurer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,500 0 owned after | $19.47 exercise price | 2013-04-29 | |
| 2013-04-25 | Davidson Neil Officer (SVP, CFO & Treasurer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $14.99 exercise price | 2013-04-29 | |
| 2013-04-25 | Davidson Neil Officer (SVP, CFO & Treasurer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,500 0 owned after | $20.32 exercise price | 2013-04-29 | |
| 2013-04-25 | Davidson Neil Officer (SVP, CFO & Treasurer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 0 owned after | $32.62 exercise price | 2013-04-29 | |
| 2013-03-25 | VERNER KEVIN Director | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 70,000 owned after | $24.65 exercise price | 2013-03-27 | |
| 2013-03-14 | HADDRILL RICHARD M Director | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $17.16 exercise price | 2013-03-15 | |
| 2013-03-14 | HADDRILL RICHARD M Director | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 35,000 owned after | $23.04 exercise price | 2013-03-15 | |
| 2013-03-13 | VERNER KEVIN Director | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 95,000 owned after | $24.65 exercise price | 2013-03-15 | |
| 2013-03-06 | LERNER MARK Officer (SVP, Secretary) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −500 0 owned after | $37.76 exercise price | 2013-03-08 | |
| 2013-03-06 | LERNER MARK Officer (SVP, Secretary) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,666 0 owned after | $39.21 exercise price | 2013-03-08 | |
| 2013-03-04 | DAVID ROBBINS Director | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −45,000 50,000 owned after | $24.65 exercise price | 2013-03-06 | |
| 2013-02-12 | LERNER MARK Officer (SVP, Secretary) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 0 owned after | $23.04 exercise price | 2013-02-13 | |
| 2013-02-07 | HADDRILL RICHARD M Director | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −35,000 0 owned after | $24.65 exercise price | 2013-02-11 | |
| 2013-02-05 | DAVID ROBBINS Director | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −100,000 95,000 owned after | $24.65 exercise price | 2013-02-07 | |
| 2013-01-24 | SRINIVASAN RAMESH Director, Officer (President & CEO) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,015 20,015 owned after | $46.69 exercise price | 2013-01-28 |