-----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, NxwR5RRLv2Jh8EdYivsgJ4OKb/TAIDGTwtL0DJih6PqGMpBnjSyHgYmPy1mKdAWp 1Ou2wBxHeMZH4rrcm0pKyg== 0000912057-02-035063.txt : 20020910 0000912057-02-035063.hdr.sgml : 20020910 20020910162948 ACCESSION NUMBER: 0000912057-02-035063 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020831 FILED AS OF DATE: 20020910 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PENN NATIONAL GAMING INC CENTRAL INDEX KEY: 0000921738 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-RACING, INCLUDING TRACK OPERATION [7948] IRS NUMBER: 232234473 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24206 FILM NUMBER: 02760849 BUSINESS ADDRESS: STREET 1: 825 BERKSHIRE BLVD STE 200 STREET 2: WYOMISSING PROFESSIONAL CENTER CITY: WYOMISSING STATE: PA ZIP: 19610 BUSINESS PHONE: 6103732400 MAIL ADDRESS: STREET 1: 825 BERSHIRE BLVD STREET 2: SUITE 200 CITY: WYOMISSING STATE: PA ZIP: 19610 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: PENN NATIONAL GAMING INC CENTRAL INDEX KEY: 0000921738 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-RACING, INCLUDING TRACK OPERATION [7948] RELATIONSHIP: DIRECTOR IRS NUMBER: 232234473 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 825 BERKSHIRE BLVD STE 200 STREET 2: WYOMISSING PROFESSIONAL CENTER CITY: WYOMISSING STATE: PA ZIP: 19610 BUSINESS PHONE: 6103732400 MAIL ADDRESS: STREET 1: 825 BERSHIRE BLVD STREET 2: SUITE 200 CITY: WYOMISSING STATE: PA ZIP: 19610 4 1 a2089072z4.txt FORM 4
- -------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION FORM 4 WASHINGTON, D.C. 20549 - -------- STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP / / Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. SEE Instruction 1(b). - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) Penn National Gaming, Inc. X Director 10% Owner Levy Robert P. PENN ---- ---- - --------------------------------------------------------------------------------------------- Officer (give Other (Last) (First) (Middle) 3. I.R.S. Identification 4. Statement for ---- title ---- (specify Number of Reporting Month/Day/Year below) below Person, if an entity Two Logan Square, Suite 2525 (voluntary) 08/31/2002 - -------------------------------------------- --------------------- ----------------- ------------------ (Street) 5. If Amendment, 7. Individual or Joint/Group Filing Date of Original (Check Applicable Line) (Month/Day/Year) _X_Form filed by One Reporting Person ___Form filed by More than One Philadelphia PA 19103 Reporting Person - ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) TABLE I - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of 2. Trans- 2A. Deemed 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature Security action Execution action or Disposed of (D) Securities ship of In- (Instr. 3) Date Date, Code (Instr. 3, 4 and 5) Beneficially Form: direct if any (Instr. 8) Owned Follow- Direct Bene- (Month/ (Month/ ing Reported (D) or ficial Day/ Day/ ------------------------------------------ Transaction(s) Indirect Owner- Year) Year) (A) or (Instr. 3 (I) ship Code V Amount (D) Price and 4) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 08/14/02 M 1,872 A 3.32 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 08/14/02 M 8,128 A 3.32 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 08/23/02 S 5,000 D 16.85 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 08/23/02 S 5,000 D 17.02 0 D - ------------------------------------------------------------------------------------------------------------------------------------
FORM 4 (CONTINUED) TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ----------------------------------------------------------------------------------------------------------------------------------- 1. Title of Derivative Security 2. Conver- 3. Trans- 3A. Deemed 4. Transac- 5. Number of Deriv- 6. Date Exer- (Instr. 3) sion or action Execution tion Code ative Securities Ac- cisable and Ex- Exercise Date Date, (Instr. 8) quired (A) or Dis- piration Date Price of (Month/ if any posed of (D) (Month/Day/ Deriv- Day/ (Month/ (Instr. 3, 4, and 5) Year) ative Year) Day/ Security Year) -------------------------------------- ---------------- Date Expira- Exer- tion Code V (A) (D) cisable Date - ----------------------------------------------------------------------------------------------------------------------------------- Non-Qualified Stock Option (right to buy) 5.16 01/02/01 01/02/02 01/02/08 - ----------------------------------------------------------------------------------------------------------------------------------- Non-Qualified Stock Option (right to buy) 14.84 01/02/02 01/02/03 01/02/09 - ----------------------------------------------------------------------------------------------------------------------------------- Incentive Stock Option (right to buy) 3.22 08/14/02 M 8,128 08/06/99 08/06/05 - ----------------------------------------------------------------------------------------------------------------------------------- Non-Qualified Stock Option (right to buy) 3.22 08/14/08 M 1,827 08/06/99 08/06/05 - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------- 7. Title and Amount of Under- 8. Price 9. Number 10. Owner- 11. Nature lying Securities of of Deriv- ship of In- (Instr. 3 and 4) Deriv- ative Form direct ative Securi- of De- Bene- Secur- ties rivative ficial ity Bene- Secu- Own- (Instr. ficially rity: ership 5) Owned Direct (Instr. 4) ----------------------- Following (D) or Title Amount or Reported Indi- Number of Transaction(s) rect (I) Shares (Instr. 4) (Instr. 4) - ----------------------------------------------------------------------------------------------- Common Stock 30,000 30,000 D - ----------------------------------------------------------------------------------------------- Common Stock 30,000 30,000 D - ----------------------------------------------------------------------------------------------- Common Stock 8,128 0 D - ----------------------------------------------------------------------------------------------- Common Stock 1,872 0 D - ----------------------------------------------------------------------------------------------- Explanation of Responses: /s/ Robert P. Levy 08/10/02 ----------------------------------- ----------- **Signature of Reporting Person Date Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, SEE Instruction 4(b)(v). **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 is insufficient, SEE Instruction 6 for procedure.
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