0001209191-14-010847.txt : 20140214
0001209191-14-010847.hdr.sgml : 20140214
20140214160434
ACCESSION NUMBER: 0001209191-14-010847
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130822
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-53894
FILM NUMBER: 14616335
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-53894
FILM NUMBER: 14616341
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
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2013-08-22
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
2013-08-20
4
P
0
5000
2.00
A
21082
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