Statement of Changes in Beneficial Ownership (4)
September 04 2018 - 6:37PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
Farahi David-Jacques
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2. Issuer Name
and
Ticker or Trading Symbol
MONARCH CASINO & RESORT INC
[
MCRI
]
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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)
COO
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(Last)
(First)
(Middle)
3800 S. VIRGINIA STREET
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3. Date of Earliest Transaction
(MM/DD/YYYY)
9/1/2018
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(Street)
RENO, NV 89502
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Options / Right to Buy
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$47.05
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9/1/2018
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A
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11666
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9/1/2021
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9/1/2028
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Common Stock
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11666
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$47.05
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279998
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D
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Options / Right to Buy
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$47.81
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8/1/2021
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8/1/2028
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Common Stock
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6667
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279998
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D
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Options / Right to Buy
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$42.74
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(1)
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5/3/2028
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Common Stock
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50000
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279998
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D
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Options / Right to Buy
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$42.46
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3/1/2021
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3/1/2028
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Common Stock
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1667
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279998
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D
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Options / Right to Buy
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$45.55
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2/1/2021
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2/1/2028
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Common Stock
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13333
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279998
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D
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Options / Right to Buy
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$35.1
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9/1/2020
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9/1/2027
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Common Stock
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11666
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279998
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D
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Options / Right to Buy
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$33.34
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8/1/2020
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8/1/2027
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Common Stock
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6667
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279998
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D
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Options / Right to Buy
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$26.93
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3/1/2020
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3/1/2027
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Common Stock
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1666
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279998
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D
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Options / Right to Buy
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$23.54
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2/1/2020
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2/1/2027
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Common Stock
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13333
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279998
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D
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Options / Right to Buy
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$23.63
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9/1/2019
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9/1/2026
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Common Stock
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11667
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279998
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D
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Options / Right to Buy
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$23.52
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8/1/2019
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8/1/2026
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Common Stock
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6666
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279998
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D
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Options / Right to Buy
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$20.49
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3/1/2019
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3/1/2026
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Common Stock
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1666
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279998
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D
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Options / Right to Buy
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$17.6
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8/21/2018
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8/21/2025
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Common Stock
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10000
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279998
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D
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Options / Right to Buy
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$18.44
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8/13/2018
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8/13/2025
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Common Stock
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1667
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279998
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D
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Options / Right to Buy
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$20.69
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7/12/2018
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7/12/2025
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Common Stock
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6667
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279998
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D
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Options / Right to Buy
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$17.08
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2/10/2018
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2/10/2025
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Common Stock
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1667
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279998
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D
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Options / Right to Buy
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$12.4
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8/13/2017
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8/13/2024
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Common Stock
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1667
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279998
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D
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Options / Right to Buy
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$14.95
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7/12/2017
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7/12/2024
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Common Stock
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6667
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279998
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D
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Options / Right to Buy
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$18.41
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2/10/2017
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2/10/2024
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Common Stock
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1666
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279998
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D
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Options / Right to Buy
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$19
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(2)
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1/17/2024
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Common Stock
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40000
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279998
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D
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Options / Right to Buy
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$20
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8/13/2016
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8/13/2023
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Common Stock
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1667
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279998
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D
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Options / Right to Buy
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$17.79
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7/12/2016
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7/12/2023
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Common Stock
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6666
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279998
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D
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Options / Right to Buy
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$10.33
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2/10/2016
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2/10/2023
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Common Stock
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1666
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279998
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D
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Options / Right to Buy
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$7.55
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(3)
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8/21/2022
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Common Stock
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30000
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279998
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D
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Option / Right to Buy
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$7.42
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8/13/2015
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8/13/2022
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Common Stock
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1667
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279998
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D
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Options / Right to Buy
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$9.3
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8/13/2014
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8/13/2021
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Common Stock
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1667
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279998
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D
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Options / Right to Buy
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$10.2
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(4)
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7/12/2020
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Common Stock
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20000
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279998
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D
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Options / Right to Buy
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$11.15
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(5)
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6/21/2020
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Common Stock
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5000
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279998
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D
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Options / Right to Buy
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$6.72
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(6)
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2/10/2020
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Common Stock
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5000
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279998
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D
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Explanation of Responses:
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(1)
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On May 3, 2018, Mr. Farahi was granted 50,000 stock options, which vest as follows: 16,666 vest on May 3, 2021; 16,667 vest on May 3, 2022 and 16,667 vest on May 3, 2023.
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(2)
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On January 17, 2014, Mr. Farahi was granted 40,000 stock options, which vest as follows: 13,333 vest on January 17, 2017; 13,333 vest on January 17, 2018 and 13,334 vest on January 17, 2019.
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(3)
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On August 21, 2012, Mr. Farahi was granted 30,000 stock options, which vest as follows: 10,000 vest on August 21, 2015; 10,000 vest on August 21, 2016 and 10,000 vest on August 21, 2017.
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(4)
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On July 12, 2010, Mr. Farahi was granted 20,000 stock options, which vest as follows: 6,666 vest on July 12, 2013; 6,667 vest on July 12, 2014 and 6,667 vest on July 12, 2015.
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(5)
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On June 21, 2010, Mr. Farahi was granted 5,000 stock options, which vest as follows: 1,666 vest on June 21, 2013; 1,667 vest on June 21, 2014 and 1,667 vest on June 21, 2015.
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(6)
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On February 10, 2010, Mr. Farahi was granted 5,000 stock options, which vest as follows: 1,666 vest on February 10, 2013; 1,667 vest on February 10, 2014 and 1,667 vest on February 10, 2015.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Farahi David-Jacques
3800 S. VIRGINIA STREET
RENO, NV 89502
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COO
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Signatures
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David farahi
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9/3/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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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 control number.
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