-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, KBy4xZlFIledQPr+cFOpRubB3QAEC/uNFBkvJ1QRTUjr5RfhIpJwtLLzsiACQXpx ja2m3oUliyWt0NW7+Ms3RA== 0001104659-04-033333.txt : 20041103 0001104659-04-033333.hdr.sgml : 20041103 20041103170838 ACCESSION NUMBER: 0001104659-04-033333 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20040630 FILED AS OF DATE: 20041103 DATE AS OF CHANGE: 20041103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HADDRILL RICHARD M CENTRAL INDEX KEY: 0001201647 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-31558 FILM NUMBER: 041117045 MAIL ADDRESS: STREET 1: 2300 WINDY RIDGE PKWY CITY: ATLANTA STATE: GA ZIP: 30339 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ALLIANCE GAMING CORP CENTRAL INDEX KEY: 0000002491 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MISCELLANEOUS AMUSEMENT & RECREATION [7990] IRS NUMBER: 880104066 STATE OF INCORPORATION: NV FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 6601 S. BERMUDA RD. CITY: LAS VEGAS STATE: NV ZIP: 89119 BUSINESS PHONE: 7028967700 MAIL ADDRESS: STREET 1: 6601 S. BERMUDA RD. CITY: LAS VEGAS STATE: NV ZIP: 89119 FORMER COMPANY: FORMER CONFORMED NAME: UNITED GAMING INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: GAMING & TECHNOLOGY INC DATE OF NAME CHANGE: 19890206 FORMER COMPANY: FORMER CONFORMED NAME: ADVANCED PATENT TECHNOLOGY INC DATE OF NAME CHANGE: 19830519 4/A 1 a4a.xml 4/A X0202 4/A 2004-06-30 2004-07-02 0 0000002491 ALLIANCE GAMING CORP AGI 0001201647 HADDRILL RICHARD M 6601 S. BERMUDA ROAD LAS VEGAS NV 89119 1 1 0 0 Chief Executive Officer Employee Stock Options (right to buy) 17.16 2004-06-30 4 A 0 405000 A 2014-10-01 Common Stock, $.10 par value per share 405000 405000 D The transaction date was incorrectly reported as June 3, 2004 on the Reporting Person's Form 4/A filed on July 12, 2004. On October 27, 2004, the Reporting Person and Issuer entered into an agreement whereby the Reporting Person agreed to forego 95,000 employee stock options granted to him on June 30, 2004, in exchange for the receipt of 95,000 employee stock options on October 27, 2004. The Reporting Person is amending his Form 4 filed on July 2, 2004 to reflect that only 405,000 employee stock options were granted to him on June 30, 2004, rather than 500,000 as previously reported. See Exhibit 99.1. Granted as compensation for services. The Reporting Person's status as Chief Executive Officer of the Issuer was incorrectly omitted on the Reporting Person's Form 4. /s/ Richard Haddrill 2004-10-29 EX-99.1 2 ex-99d1.htm EX-99.1

Exhibit 99.1

 

(4)  These options vest on October 1, 2012, provided the Reporting Person is an employee on that date, or earlier as follows:  in twelve equal tranches, vesting on (a) the later of (i) the first date on which the Fair Market Value (as defined in the Employment Agreement between Reporting Person and Issuer dated June 30, 2004) (“FMV”) of the stock is at least $30 and (ii) October 1, 2005, but only if the FMV is at least $30 on or before October 1, 2007, for the first tranche, (b) the later of (i) the first date on which the FMV of the stock is at least $35 and (ii) October 1, 2005, but only if the FMV is at least $35 on or before October 1, 2007, for the second, (c) the later of (i) the first date on which the FMV of the stock is at least $40 and (ii) October 1, 2005, but only if the FMV is at least $40 on or before October 1, 2008, for the third, (d) the later of (i) the first date on which the FMV of the stock is at least $45 and (ii) October 1, 2005, but only if (x) the FMV is at least $45 on or before October 1, 2008 or (y) the FMV is at least $40 on or before October 1, 2008 and at least $45 on or before October 1, 2009, for the fourth, (e) the later of (i) the first date on which the FMV of the stock is at least $30 and (ii) October 1, 2006, but only if the FMV is at least $30 on or before October 1, 2007, for the fifth, (f) the later of (i) the first date on which the FMV of the stock is at least $35 and (ii) October 1, 2006, but only if the FMV is at least $35 on or before October 1, 2007, for the sixth, (g) the later of (i) the first date on which the FMV of the stock is at least $40 and (ii) October 1, 2006, but only if the FMV is at least $40 on or before October 1, 2008, for the seventh, (h) the later of (i) the first date on which the FMV of the stock is at least $45 and (ii) October 1, 2006, but only if (x) the FMV is at least $45 on or before October 1, 2008 or (y) the FMV is at least $40 on or before October 1, 2008 and at least $45 on or before October 1, 2009, for the eighth, (i) the later of (i) the first date on which the FMV of the stock is at least $30 and (ii) October 1, 2007, but only if the FMV is at least $30 on or before October 1, 2007, for the ninth, (j) the later of (i) the first date on which the FMV of the stock is at least $35 and (ii) October 1, 2007, but only if the FMV is at least $35 on or before October 1, 2007, for the tenth, (k) the later of (i) the first date on which the FMV of the stock is at least $40 and (ii) October 1, 2007, but only if the FMV is at least $40 on or before October 1, 2008, for the eleventh and (l) the later of (i) the first date on which the FMV of the stock is at least $45 and (ii) October 1, 2007, but only if (x) the FMV is at least $45 on or before October 1, 2008 or (y) the FMV is at least $40 on or before October 1, 2008 and at least $45 on or before October 1, 2009, for the twelfth.

 

 -----END PRIVACY-ENHANCED MESSAGE-----