-----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, ODBbwmqHuryEPg5kkD+REWxojRkHPZHYxvDz+fD4h0p7rlqUOqiA5CcytH4Pcuqb 4Xt+/mNnZn7UBoYEtp48QQ== /in/edgar/work/20000918/0000922423-00-001148/0000922423-00-001148.txt : 20000923 0000922423-00-001148.hdr.sgml : 20000923 ACCESSION NUMBER: 0000922423-00-001148 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000906 FILED AS OF DATE: 20000918 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AUTOTOTE CORP CENTRAL INDEX KEY: 0000750004 STANDARD INDUSTRIAL CLASSIFICATION: [3578 ] IRS NUMBER: 810422894 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 001-11693 FILM NUMBER: 724699 BUSINESS ADDRESS: STREET 1: 750 LEXINGTON AVE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 3027374300 MAIL ADDRESS: STREET 1: 750 LEXINGTON AVE CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: UNITED TOTE INC DATE OF NAME CHANGE: 19920317 COMPANY DATA: COMPANY CONFORMED NAME: HUNTLEY WILLIAM J CENTRAL INDEX KEY: 0001124056 STANDARD INDUSTRIAL CLASSIFICATION: [ ]OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: AUTOTOTE CORP STREET 2: 220 S CONTINENTAL DR STE 407 CITY: NEWARK STATE: DE ZIP: 00000 BUSINESS PHONE: 2127542233 MAIL ADDRESS: STREET 1: AUTO CORP STREET 2: 220 S CONTINENTAL DR STE 407 CITY: NEWARK STATE: DE 3 1 0001.txt FORM 3 --------------------------- OMB APPROVAL FORM 3 OMB Number..3235-0104 Expires:December 31, 2001 Estimated average burden hours per response 0.5 --------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 1. Name and Address of Reporting Person Huntley William J. c/o Autotote Corporation 220 South Continental Drive, Suite 407 Newark DE 19713 2. Date of Event Requiring Statement (Month/Day/Year) 09/06/00 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Issuer Name and Ticker or Trading Symbol Autotote Corporation ("TTE") 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) 6. If Amendment, Date of Original (Month/Day/Year) 7. Individual or Joint/Group Filing (Check Applicable Line) (X) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person
- ----------------------------------------------------------------------------------------------------------------------------------- Table I -- Non-Derivative Securities Beneficially Owned | - -----------------------------------------------------------------------------------------------------------------------------------| 1. Title of Security |2. Amount of |3. Ownership |4. Nature of Indirect | | Securities | Form: | Beneficial Ownership | | Beneficially | Direct(D) or | | | Owned | Indirect(I) | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock, $.01 par value | | | | per share | 24,078 | D | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | - -----------------------------------------------------------------------------------------------------------------------------------| *If form is filed by more than one reporting person, see Instruction 5(b)(v). (over) Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. SEC 1473 (7-96)
- ----------------------------------------------------------------------------------------------------------------------------------- Table II -- Derivative Securitites Beneficially Owned | - -----------------------------------------------------------------------------------------------------------------------------------| 1.Title of Derivative |2.Date Exer- |3.Title and Amount | |4. Conver-|5. Owner- |6. Nature of Indirect | Security | cisable and | of Underlying | |sion or |ship | Beneficial Ownership | | Expiration | Securities | |exercise |Form of | | | Date(Month/ |-----------------------|---------|price of |Deriv- | | | Day/Year) | |Amount |deri- |ative | | | Date | Expira- | |or |vative |Security: | | | Exer- | tion | Title |Number of|Security |Direct(D) or | | | cisable | Date | |Shares | |Indirect(I) | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option to Purchase | (1) |12-12-01 | Common Stock | 25,000 |$1.59 | D | | Common Stock | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option to Purchase | (2) |12-07-02 | Common Stock | 30,000 |$4.84 | D | | Common Stock | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option to Purchase | (3) |12-13-05 | Common Stock | 50,000 |$3.00 | D | | Common Stock | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option to Purchase | (4) |12-16-06 | Common Stock | 75,000 |$1.0625 | D | | Common Stock | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option to Purchase | (5) |10-26-07 | Common Stock | 50,000 |$2.25 | D | | Common Stock | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option to Purchase | (6) |05-20-08 | Common Stock | 20,000 |$2.75 | D | | Common Stock | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option to Purchase | (7) |02-17-09 | Common Stock | 29,000 |$1.75 | D | | Common Stock | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option to Purchase | (8) |12-30-09 | Common Stock | 14,000 |$3.50 | D | | Common Stock | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option to Purchase | (9) | (9) | Common Stock | 6,544 | (9) | D | | Common Stock | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option to Purchase | (10) |09-05-10 | Common Stock |150,000 |$3.50 | D | | Common Stock | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------|
Explanation of Responses: (1) The option became exercisable in three equal annual installments beginning on December 13, 1992. (2) The option became exercisable in three equal annual installments beginning on December 8, 1993. (3) The option became exercisable in four equal annual installments beginning on December 14, 1996. (4) The option became exercisable as to 18,750 shares on each of December 17, 1997, 1998 and 1999, and becomes exercisable as to the remaining 18,750 shares on December 17, 2000. (5) The option became exercisable as to 12,500 shares on each of October 27, 1998 and 1999, and becomes exercisable as to 12,500 shares on each of October 27, 2000 and 2001. (6) The option became exercisable as to one-quarter of the shares on each of May 21, 1999 and 2000, and becomes exercisable as to 5,000 shares on each of May 21, 2001 and 2002. (7) The option became exercisable as to 7,250 shares on February 18, 2000, and becomes exercisable as to 7,250 shares on each of February 18, 2001, 2002 and 2003. (8) The option will become exercisable in four equal annual installments beginning on December 31, 2000. (9) One-fifth of the securities will vest, and the equivalent number of shares will be issued, on each of May 26, 2001, 2002, 2003, 2004 and 2005, or on an accelerated basis if certain price minimums are achieved, in the event of termination of employment due to death, disability or retirement, or in the event of a consolidation or merger of the Company or a sale of substantially all of the Company's assets. (10) The option will become exercisable in four equal annual installments beginning on September 6, 2001. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). /s/ William J. Huntley September 15, 2000 ------------------------------- ------------------ **Signature of Reporting Person Date Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, See Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number. Page 2 SEC 1473 (3-99) -----END PRIVACY-ENHANCED MESSAGE-----