Amended Statement of Changes in Beneficial Ownership (4/a)
September 04 2020 - 4:34PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Sottile James |
2. Issuer Name and Ticker or Trading Symbol
SCIENTIFIC GAMES CORP
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SGMS
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Exec VP & Chief Legal Officer |
(Last)
(First)
(Middle)
C/O SCIENTIFIC GAMES CORPORATION, 6601 BERMUDA ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/20/2019 |
(Street)
LAS VEGAS, NV 89119
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
3/22/2019 |
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (right to buy) | $22.69 | 3/20/2019 | | A | | 15127 | | (1) | (1) | Common Stock | 15127 | $0 | 15127 | D | |
Explanation of Responses: |
(1) | The stock options are scheduled to become exercisable as to 3,782 shares on each of March 20, 2021, March 20, 2022 and March 20, 2023 (each, a "Vesting Date"), contingent upon the achievement of a performance goal (the "Performance Goal"). If the Performance Goal is met subsequent to a Vesting Date, each annual installment relating to a Vesting Date that has already occurred will automatically vest upon achievement of the Performance Goal and any remaining installments will vest in accordance with the vesting schedule. The remaining 3,781 stock options will become exercisable upon achievement of the Performance Goal. |
Remarks: This Form 4/A is being filed to amend footnote (5) in the original Form 4 filed by the Reporting Person on March 22, 2019 to reflect that the performance goal was modified in light of the COVID-19 pandemic and its effect on the Company's business. The modification was approved in accordance with Rule 16b-3(d). No other changes have been made to the original Form 4. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Sottile James C/O SCIENTIFIC GAMES CORPORATION 6601 BERMUDA ROAD LAS VEGAS, NV 89119 |
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| Exec VP & Chief Legal Officer |
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Signatures
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/s/ Melissa Bengtson, attorney-in-fact for James Sottile | | 9/4/2020 |
**Signature of Reporting Person | Date |
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