0001209191-14-010841.txt : 20140214 0001209191-14-010841.hdr.sgml : 20140214 20140214155559 ACCESSION NUMBER: 0001209191-14-010841 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130608 FILED AS OF DATE: 20140214 DATE AS OF CHANGE: 20140214 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Tropicana Las Vegas Hotel & Casino, Inc. CENTRAL INDEX KEY: 0001479046 STANDARD INDUSTRIAL CLASSIFICATION: HOTELS & MOTELS [7011] IRS NUMBER: 270455607 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3801 LAS VEGAS BLVD., SOUTH CITY: LAS VEGAS STATE: NV ZIP: 89109 BUSINESS PHONE: (702) 739-3530 MAIL ADDRESS: STREET 1: 3801 LAS VEGAS BLVD., SOUTH CITY: LAS VEGAS STATE: NV ZIP: 89109 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MERRILL LYNCH, PIERCE, FENNER & SMITH INC. CENTRAL INDEX KEY: 0000728612 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-53894 FILM NUMBER: 14616109 BUSINESS ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER STREET 2: NORTH TOWER CITY: NEW YORK STATE: NY ZIP: 10080 BUSINESS PHONE: 212-670-2756 MAIL ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER STREET 2: NORTH TOWER CITY: NEW YORK STATE: NY ZIP: 10080 FORMER NAME: FORMER CONFORMED NAME: MERRILL LYNCH PIERCE FENNER & SMITH INC DATE OF NAME CHANGE: 19920929 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BANK OF AMERICA CORP /DE/ CENTRAL INDEX KEY: 0000070858 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-53894 FILM NUMBER: 14616110 BUSINESS ADDRESS: STREET 1: BANK OF AMERICA CORPORATE CENTER STREET 2: 100 N TRYON ST CITY: CHARLOTTE STATE: NC ZIP: 28255 BUSINESS PHONE: 7043868486 MAIL ADDRESS: STREET 1: BANK OF AMERICA CORPORATE CENTER STREET 2: 100 N TRYON ST CITY: CHARLOTTE STATE: NC ZIP: 28255 FORMER NAME: FORMER CONFORMED NAME: BANKAMERICA CORP/DE/ DATE OF NAME CHANGE: 19981022 FORMER NAME: FORMER CONFORMED NAME: NATIONSBANK CORP DATE OF NAME CHANGE: 19920703 FORMER NAME: FORMER CONFORMED NAME: NCNB CORP DATE OF NAME CHANGE: 19920107 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2013-06-08 0 0001479046 Tropicana Las Vegas Hotel & Casino, Inc. N/A 0000070858 BANK OF AMERICA CORP /DE/ 100 NORTH TRYON STREET CHARLOTTE, NC 28255 0 0 0 1 See Remarks 0000728612 MERRILL LYNCH, PIERCE, FENNER & SMITH INC. ONE BRYANT PARK NEW YORK NY 10036 0 0 0 1 See Remarks Class A Common Stock 16082 I By Merrill Lynch Pierce Fenner & Smith Incorporated The shares of Class A Common Stock of Tropicana Las Vegas Hotel & Casino, Inc. (the "Company") are owned directly by Merrill Lynch Pierce Fenner & Smith Incorporated ("Merrill Lynch"). Bank of America Corporation ("BAC") indirectly holds 100% of the interests of Merrill Lynch. As more fully described in Post-Effective Amendment No. 1 to Registration Statement on Form 10 filed by Tropicana Las Vegas Hotel and Casino, Inc. (the "Company") on May 28, 2010, all of the Company's stockholders are a party to a certain Stockholders' Agreement, dated as of July 1, 2009 (the "Stockholders' Agreement"), which contains certain agreements as to voting. Merrill Lynch became a party to the Stockholders' Agreement on May 29, 2013. The stockholders that are parties to the Stockholders' Agreement may be deemed to be a group that beneficially owns more than 10% of the shares of the Company's Class A Common Stock under Section 13(d) of the Securities Exchange Act of 1934, as amended. BAC indirectly holds 100% of the interest of Merrill Lynch. Merrill Lynch and BAC disclaim beneficial ownership of the shares of the Company's Class A Common Stock that Merrill Lynch does not hold directly. /s/ Michael Didovic, Attorney-in-fact of Bank of America Corporation 2014-02-14