-----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, Mf34LvKGMTasWxrkZn0QwOY1xUtbqjEIgqWfXVX9c85MNCB9UiUb9hFAw0G5Mt4L k4ZEttvgH2g0cQLKjMUdXQ== 0000903856-97-000013.txt : 19970410 0000903856-97-000013.hdr.sgml : 19970410 ACCESSION NUMBER: 0000903856-97-000013 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970331 FILED AS OF DATE: 19970409 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SODAK GAMING INC CENTRAL INDEX KEY: 0000903856 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-PROFESSIONAL & COMMERCIAL EQUIPMENT & SUPPLIES [5040] IRS NUMBER: 460407053 STATE OF INCORPORATION: SD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21754 FILM NUMBER: 97577047 BUSINESS ADDRESS: STREET 1: 5301 S HWY 16 CITY: RAPID CITY STATE: SD ZIP: 57701 BUSINESS PHONE: 6053415400 MAIL ADDRESS: STREET 1: SODAK GAMING INC STREET 2: 5301 S HIGHWAY 16 CITY: RAPID CITY STATE: SD ZIP: 57701 COMPANY DATA: COMPANY CONFORMED NAME: SODAK GAMING INC CENTRAL INDEX KEY: 0000903856 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-PROFESSIONAL & COMMERCIAL EQUIPMENT & SUPPLIES [5040] DIRECTOR IRS NUMBER: 460407053 STATE OF INCORPORATION: SD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 5301 S HWY 16 CITY: RAPID CITY STATE: SD ZIP: 57701 BUSINESS PHONE: 6053415400 MAIL ADDRESS: STREET 1: SODAK GAMING INC STREET 2: 5301 S HIGHWAY 16 CITY: RAPID CITY STATE: SD ZIP: 57701 4 1 FORM 4 ------------------------------ OMB APPROVAL ------------------------------ OMB Number 3235-0287 Expires: April 30, 1997 Estimated average burden hours per response ....... 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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 [ ] Check this box if no longer subject of Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ================================================================================ 1. Name and Address of Reporting Person Gentner Roland W. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 5980 Wildwood Drive - -------------------------------------------------------------------------------- (Street) Rapid City South Dakota 57702 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol Sodak Gaming, Inc. (SODK) ================================================================================ 3. IRS or Social Security Number of Reporting Person (Voluntary) ================================================================================ 4. Statement for Month/Year March 1997 ================================================================================ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) [ X ] Director [ ] 10% Owner [ X ] Officer (give title below) [ ] Other (specify below) President / Chief Operating Officer -------------------------------------------------------------------- ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock $.001 par value 2/29/96 G *800 D 27.00 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock $.001 par value 2/29/96 G *800 D 27.00 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock $.001 par value 2/29/96 G *800 D 27.00 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock $.001 par value 3/18/97 P 60,000 A 12.563 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock $.001 par value 3/19/97 P 30,000 A 12.563 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock $.001 par value 3/20/97 P 5,000 A 12.563 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock $.001 par value 2,186,400 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly *After giving effect to the September 27, 1996 2 for 1 stock split FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
9. 10. Number Owner- of ship 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature of Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option 8.80 (1) 5/11/99 Common *21,688 *21,688 D (right to buy) Stock $.001 par value - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option 6.4625 (2) 3/31/00 Common *34,000 *34,000 D (right to buy) Stock $.001 par value - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option 13.956 (3) 2/26/01 Common *60,000 *60,000 D (right to buy) Stock $.001 par value - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option 16.375 (4) 1/30/07 Common 60,000 60,000 D (right to buy) Stock $.001 par value - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: 1. Grant to reporting persons of option to buy 10,844 shares of common stock under Sodak Gaming, Inc. 1993 Stock Option Plan in transaction exempt under Rule 16b-3. The option becomes exerciseable in 25% increments on 5/11/95, 5/11/96, 5/11/97, and 5/11/98 respectively. 2. Grant to reporting person of option to buy 17,000 shares of common stock under Sodak Gaming, Inc. 1993 Stock Option Plan in transaction exempt under Rule 16b-3. The option becomes exerciseable in 25% increments on 3/31/96, 3/31/97, 3/31/98, 3/31/99, and 3/31/00 respectively 3. Grant to reporting person of option to buy 30,000 shares of common stock under Sodak Gaming, Inc. 1993 Stock Option Plan in transaction exempt under Rule 16b-3. The option becomes exerciseable in 25% increments on 2/26/97, 2/26/98, 2/26/99, and 2/26/00 respectively. 4. Grant to reporting person of option to buy 60,000 shares of common stock uner Sodak Gaming, Inc. 1993 Stock Option Plan in transaction exempt under Rule 16b-3. The option becomes exercisable in 25% increments on 1/30/98, 1/30/99, 1/30/00 and 1/30/01 respectively. *After giving effect to the September 27, 1996 2 for 1 stock split. - --------------------------------------------- ----------------------- **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedures. -----END PRIVACY-ENHANCED MESSAGE-----