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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Phantom Stock Units (1) | $ 0 (2) | 09/30/2005 | A | 28 (4) | (3) | (3) | Common Stock | 28 (4) | $ 17.9 (4) | 18,604 (8) (12) | D | ||||
Phantom Stock Units (1) | $ 0 (2) | 12/31/2005 | A | 51 (5) | (3) | (3) | Common Stock | 51 (5) | $ 24.48 (5) | 19,411 (9) (12) | D | ||||
Phantom Stock Units (1) | $ 0 (2) | 03/31/2006 | A | 42 (6) | (3) | (3) | Common Stock | 42 (6) | $ 29.56 (6) | 20,096 (10) (12) | D | ||||
Phantom Stock Units (1) | $ 0 (2) | 06/30/2006 | A | 18 (7) | (3) | (3) | Common Stock | 18 (7) | $ 29.56 (7) | 21,083 (11) (12) (13) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LESLIE BRUCE A C/O PINNACLE ENTERTAINMENT, INC. 3800 HOWARD HUGHES PARKWAY LAS VEGAS, NV 89109 |
X |
/s/ Christopher K. Plant, Attorney-In-Fact for Bruce A. Leslie | 01/29/2007 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The units of phantom stock accrued under the issuer's directors deferred compensation plan. |
(2) | Each phantom stock unit converts into issuer's Common Stock on a one-for-one basis. |
(3) | The phantom stock units are to be settled in an equal number of shares of issuer's Common Stock after a specified period following the Reporting Person's retirement, resignation or other events. |
(4) | On September 30, 2005 the Company's Board granted the Reporting person 28 phantom stock units. The price of the phantom stock units was determined by the average closing price of the issuer's Common Stock on the ten business days preceding the transaction date inclusive thereof. |
(5) | On December 31, 2005 the Company's Board granted the Reporting Person 51 phantom stock units. The price of the phantom stock units was determined by the average closing price of the issuer's Common Stock on the ten business days preceding the transaction date inclusive thereof. |
(6) | On March 31, 2006 the Company's Board granted the Reporting Person 42 phantom stock units. The price of the phantom stock units was determined by the average closing price of the issuer's Common Stock on the ten business days preceeding the transaction date inclusive thereof. |
(7) | On June 30, 2006 the Company's Board granted the Reporting Person 18 phantom stock units. The price of the phantom stock units was determined by the average closing price of the issuer's Common Stock on the ten business days preceeding the transaction date inclusive thereof. |
(8) | Represents agregated holdings of units of phantom stock on September 30, 2005 |
(9) | Represents aggregated holdings of units of phantom stock on December 31, 2005. |
(10) | Represents aggregated holdings of units of phantom stock on March 31, 2006. |
(11) | Represents aggregated holdings of units of phantom stock on June 30, 2006. |
(12) | This amended Form 4 updates the aggregated holdings of units of phantom stock on September 30, 2005 to 18,604 including the 28 shares reported herein on September 30, 2005. This amended Form 4 updates the aggregated holdings of units of phantom stock on December 31, 2005 to 19,411 including the 28 shares reported herein on September 30, 2005 and the 51 shares reported herein on December 31, 2005. This amended Form 4 updates the aggregated holdings of units of phantom stock on March 31, 2006 to 20,096 including the 28 shares reported herein on September 30, 2005 and the 51 shares reported herein on December 31, 2005 and the 42 shares reported herein on March 31, 2006. This amended Form 4 updates the aggregated holdings of units of phantom stock on June 30, 2006 to 21,083 including the 28 shares reported herein on September 30, 2005 and the 51 shares reported herein on December 31, 2005, the 42 shares reported herein on March 31, 2006 and the 18 shares reported herein on June 30, 2006. |
(13) | This amended Form 4 updates the aggregated holdings of units of phantom stock on September 30, 2006 to 22,219 and the aggregated holdings of units of phantom stock on December 31, 2006 to 23,074. Both the September 30, 2006 and the December 31, 2006 updated aggregated holdings of units of phantom stock include the 28 shares reported herein on September 30, 2005, the 51 shares reported herein on December 31, 2005, the 42 shares reported herein on March 31, 2006 and the 18 shares reported herein on June 30, 2006. |