Blake L. Sartini II - 12 Mar 2021 Form 4/A Insider Report for GOLDEN ENTERTAINMENT, INC. (GDEN)

Role
EVP of Operations
Signature
/s/ Charles H. Protell, attorney-in-fact
Issuer symbol
GDEN
Transactions as of
12 Mar 2021
Net transactions value
-$553,168
Form type
4/A
Filing time
15 Mar 2024, 20:52:30 UTC
Date Of Original Report
12 Mar 2021
Next filing
27 Aug 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GDEN Common Stock Options Exercise +4,495 +3.9% 121,185 14 Mar 2024 Direct F1, F2
transaction GDEN Common Stock Options Exercise +26,968 +22% 148,153 14 Mar 2024 Direct F1
transaction GDEN Common Stock Options Exercise +2,362 +1.6% 150,515 14 Mar 2024 Direct F1
transaction GDEN Common Stock Options Exercise +2,948 +2% 153,463 14 Mar 2024 Direct F1
transaction GDEN Common Stock Options Exercise +4,238 +2.8% 157,701 14 Mar 2024 Direct F1
transaction GDEN Common Stock Tax liability $553,168 -16,241 -10% $34.06 141,460 14 Mar 2024 Direct F3
holding GDEN Common Stock 250,000 12 Mar 2021 See Footnote F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction GDEN Restricted Stock Units Award $0 +4,495 $0.000000 4,495 12 Mar 2021 Common Stock 4,495 Direct F5, F6, F7
transaction GDEN Restricted Stock Units Award $0 +26,968 $0.000000 26,968 11 Mar 2022 Common Stock 26,968 Direct F5, F7, F8
transaction GDEN Restricted Stock Units Award $0 +2,362 $0.000000 2,362 12 Mar 2021 Common Stock 2,362 Direct F5, F6, F7
transaction GDEN Restricted Stock Units Award $0 +5,896 $0.000000 5,896 11 Mar 2022 Common Stock 5,896 Direct F5, F7, F9
transaction GDEN Restricted Stock Units Award $0 +12,717 $0.000000 12,717 14 Mar 2023 Common Stock 12,717 Direct F5, F7, F10
transaction GDEN Restricted Stock Units Award $0 +7,923 $0.000000 7,923 14 Mar 2023 Common Stock 7,923 Direct F5, F7, F11
transaction GDEN Restricted Stock Units Award $0 +17,820 $0.000000 17,820 14 Mar 2024 Common Stock 17,820 Direct F5, F12
transaction GDEN Restricted Stock Units Award $0 +8,811 $0.000000 8,811 14 Mar 2024 Common Stock 8,811 Direct F5, F7, F13
transaction GDEN Restricted Stock Units Options Exercise $0 -4,495 -100% $0.000000* 0 14 Mar 2024 Common Stock 4,495 Direct F5, F6
transaction GDEN Restricted Stock Units Options Exercise $0 -26,968 -100% $0.000000* 0 14 Mar 2024 Common Stock 26,968 Direct F5, F8
transaction GDEN Restricted Stock Units Options Exercise $0 -2,362 -100% $0.000000* 0 14 Mar 2024 Common Stock 2,362 Direct F5, F6
transaction GDEN Restricted Stock Units Options Exercise $0 -2,948 -50% $0.000000 2,948 14 Mar 2024 Common Stock 2,948 Direct F5, F9
transaction GDEN Restricted Stock Units Options Exercise $0 -4,238 -33% $0.000000 8,478 14 Mar 2024 Common Stock 4,238 Direct F5, F10
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Restricted stock units convert into common stock on a one-for-one basis.
F2 The shares of common stock listed in Table I have been updated to exclude all unvested time-based restricted stock units (RSUs) and "earned" but unvested performance-based restricted stock units (PSUs) held by the reporting person that were previously reported in Table I and are now being reported in Table II below.
F3 In accordance with the recipient's restricted stock unit award agreements, these shares were withheld by Golden Entertainment, Inc. to satisfy minimum statutory income tax withholding obligations upon vesting of restricted stock units.
F4 Represents shares held by D'Oro Holdings, LLC in which Mr. Sartini II has a pecuniary interest. On May 12, 2021, Mr. Sartini II resigned as the sole manager of D'Oro Holdings, LLC, and on May 12, 2021, Mr. Sartini II resigned as trustee of certain family trusts that were members of D'Oro Holdings, LLC. Accordingly, Mr. Sartini II no longer has investment control over shares held by D'Oro Holdings, LLC.
F5 Each restricted stock unit represents a contingent right to receive one share of common stock.
F6 Represents time-based RSUs that were previously reported in Table I. The remaining RSUs from this award vested on March 14, 2024.
F7 Includes 3,390 additional shares acquired since the date of the reporting person's last report through the issuance of a dividend equivalent on unvested time-based RSUs and earned but unvested PSUs on August 25, 2023. Additional shares acquired through the dividend equivalent will follow the vesting schedule and conditions of the original grants.
F8 Represents shares "earned" under PSUs granted on March 12, 2021 that were previously reported in Table I. These PSUs vested on March 14, 2024.
F9 Represents time-based RSUs that were previously reported in Table I. One-third of the RSUs that were originally granted on March 11, 2022 vested on March 14, 2023, one-third of the RSUs vested on March 14, 2024, and the remaining RSUs that have not been forfeited shall vest on March 14, 2025.
F10 Represents time-based RSUs that were previously reported in Table I. One-third of the RSUs that were originally granted vested on March 14, 2024, and the remaining RSUs that have not been forfeited shall vest as to one-third on March 14, 2025 and one-third on March 14, 2026.
F11 Represents shares "earned" under PSUs granted on March 11, 2022 that were previously reported in Table I. PSUs that have not been forfeited shall vest on March 14, 2025.
F12 Represents time-based RSUs. RSUs that have not been forfeited shall vest as to one-third on March 14, 2025, one-third on March 14, 2026 and one-third on March 14, 2027.
F13 Represents shares "earned" under PSUs granted on March 14, 2023 that were previously reported in Table I. PSUs that have not been forfeited shall vest on March 14, 2026.