Statement of Changes in Beneficial Ownership (4)
March 23 2020 - 4:32PM
Edgar (US Regulatory)
FORM 4
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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
*
McHugh Patrick J |
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) EVP & Grp Chief Exec, Lottery |
(Last)
(First)
(Middle)
C/O SCIENTIFIC GAMES CORPORATION, 6601 BERMUDA ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/20/2020 |
(Street)
LAS VEGAS, NV 89119
(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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Common Stock | 3/20/2020 | | M | | 13083 | A | $0 | 23424 | D | |
Common Stock | 3/20/2020 | | F | | 3936 | D | $4.41 (1) | 19488 | D | |
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 |
Restricted Stock Units | (2) | 3/20/2020 | | M | | | 6347 | (2) | (2) | Common Stock | 6347.0 | $0 | 0 | D | |
Restricted Stock Units | (3) | 3/20/2020 | | M | | | 2835 | (3) | (3) | Common Stock | 2835.0 | $0 | 2836 | D | |
Restricted Stock Units | (4) | 3/20/2020 | | M | | | 1606 | (4) | (4) | Common Stock | 1606.0 | $0 | 3212 | D | |
Restricted Stock Units | (5) | 3/20/2020 | | M | | | 2295 | (5) | (5) | Common Stock | 2295.0 | $0 | 6886 | D | |
Explanation of Responses: |
(1) | Represents the satisfaction of tax withholding obligations upon the vesting of restricted stock units. |
(2) | Represents vesting of one-fourth of restricted stock units granted on June 21, 2016. The award has fully vested. Each unit converted into a share of common stock on a one-for-one basis. |
(3) | Represents vesting of one-fourth of restricted stock units granted on March 9, 2017. The balance of the award is scheduled to vest on March 20, 2021 (2,836 shares). Each unit converts into a share of common stock on a one-for-one basis. |
(4) | Represents vesting of one-fourth of restricted stock units granted on March 30, 2018. The balance of the award is scheduled to vest in two equal installments of 1,606 shares on each of March 20, 2021 and March 20, 2022. Each unit converts into a share of common stock on a one-for-one basis. |
(5) | Represents vesting of one-fourth of restricted stock units granted on March 20, 2019. The balance of the award is scheduled to vest on each of March 20, 2021 (2,295 shares), March 20, 2022 (2,295 shares) and March 20, 2023 (2,296 shares). Each unit converts into a share of common stock on a one-for-one basis. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
McHugh Patrick J C/O SCIENTIFIC GAMES CORPORATION 6601 BERMUDA ROAD LAS VEGAS, NV 89119 |
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| EVP & Grp Chief Exec, Lottery |
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Signatures
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/s/ Su Shi, attorney-in-fact for Patrick J. McHugh | | 3/23/2020 |
**Signature of Reporting Person | Date |
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