-----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, KBxzYrN64+JypY8D7fi75xdGkaSm0KyDzCgnSJDf5NZzf40FxyRaDsH/fI3qiYMD DQ+MK1wIMsk8Y6JsqV3ycA== 0001179110-09-014456.txt : 20091009 0001179110-09-014456.hdr.sgml : 20091009 20091009174055 ACCESSION NUMBER: 0001179110-09-014456 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091007 FILED AS OF DATE: 20091009 DATE AS OF CHANGE: 20091009 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HADDRILL RICHARD M CENTRAL INDEX KEY: 0001201647 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31558 FILM NUMBER: 091114903 MAIL ADDRESS: STREET 1: 2300 WINDY RIDGE PKWY CITY: ATLANTA STATE: GA ZIP: 30339 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BALLY TECHNOLOGIES, INC. CENTRAL INDEX KEY: 0000002491 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] 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: ALLIANCE GAMING CORP DATE OF NAME CHANGE: 19950104 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 4 1 edgar.xml FORM 4 - X0303 4 2009-10-07 0 0000002491 BALLY TECHNOLOGIES, INC. BYI 0001201647 HADDRILL RICHARD M 6601 S. BERMUDA ROAD LAS VEGAS NV 89119 1 1 0 0 Chief Executive Officer Common Stock, par value $.10 per share 2009-10-07 4 M 0 4000 14.77 A 727404 D Common Stock, par value $.10 per share 2009-10-07 4 S 0 4000 37.8107 D 723404 D Common Stock, par value $.10 per share 2009-10-07 4 M 0 21000 15.07 A 744404 D Common Stock, par value $.10 per share 2009-10-07 4 S 0 21000 38.0882 D 723404 D Common Stock, par value $.10 per share 2009-10-08 4 M 0 1500 15.07 A 724904 D Common Stock, par value $.10 per share 2009-10-08 4 S 0 1500 39.3137 D 723404 D Common Stock, par value $.10 per share 2009-10-08 4 M 0 22700 15.07 A 746104 D Common Stock, par value $.10 per share 2009-10-08 4 S 0 22700 40.3512 D 723404 D Common Stock, par value $.10 per share 2009-10-08 4 M 0 800 15.07 A 724204 D Common Stock, par value $.10 per share 2009-10-08 4 S 0 800 40.8975 D 723404 D Employee Stock Options (Right to Buy) 14.77 2009-10-07 4 M 0 4000 0 D 2005-06-13 2015-06-13 Common Stock, par value $.10 per share 4000 0 D Employee Stock Options (Right to Buy) 15.07 2009-10-07 4 M 0 21000 0 D 2016-06-21 Common Stock, par value $.10 per share 21000 179000 D Employee Stock Options (Right to Buy) 15.07 2009-10-08 4 M 0 25000 0 D 2016-06-21 Common Stock, par value $.10 per share 25000 154000 D The sales were pursuant to a Rule 10b5-1 Trading Agreement dated May 13, 2009. This transaction was executed in multiple trades at prices from $37.62 to $37.89. The price above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices from $37.89 to $38.55. The price above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices from $38.835 to $39.70. The price above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices from $39.84 to $40.84. The price above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices from $40.85 to $40.99. The price above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The shares underlying the options could not be sold prior to January 1, 2007. The options vested as follows: (i) 66,667 on February 28, 2008; (ii) 66,667 on July 31, 2008; and 66,666 on January 1, 2009 in each case subject to Mr. Haddrill's continuous employment as the Company's Chief Executive Officer through each such date. Granted as compensation for services. /s/Richard M. Haddrill 2009-10-09 -----END PRIVACY-ENHANCED MESSAGE-----