DANIEL R. LEE - 14 Oct 2024 Form 4 Insider Report for FULL HOUSE RESORTS INC (FLL)

Role
PRESIDENT & CEO, Director
Signature
/s/ Lewis. A Fanger, Attorney-in-Fact
Issuer symbol
FLL
Transactions as of
14 Oct 2024
Net transactions value
-$124,859
Form type
4
Filing time
16 Oct 2024, 17:51:31 UTC
Previous filing
11 Oct 2024
Next filing
21 Oct 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction FLL Common Stock Options Exercise $16,252 +13,002 +0.82% $1.25 1,601,882 14 Oct 2024 Direct F1
transaction FLL Common Stock Sale $64,521 -13,002 -0.81% $4.96 1,588,880 14 Oct 2024 Direct F1, F2
transaction FLL Common Stock Options Exercise $9,106 +7,285 +0.46% $1.25 1,596,165 15 Oct 2024 Direct F1
transaction FLL Common Stock Sale $36,324 -7,285 -0.46% $4.99 1,588,880 15 Oct 2024 Direct F1, F3
transaction FLL Common Stock Options Exercise $16,485 +13,188 +0.83% $1.25 1,602,068 16 Oct 2024 Direct F1
transaction FLL Common Stock Sale $65,857 -13,188 -0.82% $4.99 1,588,880 16 Oct 2024 Direct F1, F4
holding FLL Common Stock 145,735 14 Oct 2024 By trust
holding FLL Common Stock 132,945 14 Oct 2024 By subtrust
holding FLL Common Stock 15,926 14 Oct 2024 As custodian for daughter

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 FLL Employee Stock Option (right to buy) Options Exercise $0 -13,002 -25% $0.000000 39,779 14 Oct 2024 Common Stock 13,002 $1.25 Direct F1, F5
transaction FLL Employee Stock Option (right to buy) Options Exercise $0 -7,285 -18% $0.000000 32,494 15 Oct 2024 Common Stock 7,285 $1.25 Direct F1, F5
transaction FLL Employee Stock Option (right to buy) Options Exercise $0 -13,188 -41% $0.000000 19,306 16 Oct 2024 Common Stock 13,188 $1.25 Direct F1, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 The exercises and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2024
F2 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.935 to $5.00, inclusive. The reporting person undertakes to provide to Full House Resorts, Inc., any stockholder of Full House Resorts, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F3 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.96 to $5.02, inclusive. The reporting person undertakes to provide to Full House Resorts, Inc., any stockholder of Full House Resorts, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F4 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.97 to $5.03, inclusive. The reporting person undertakes to provide to Full House Resorts, Inc., any stockholder of Full House Resorts, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F5 The stock option fully vested on November 28, 2018.