Statement of Changes in Beneficial Ownership (4)
January 04 2021 - 5:40PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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CRISAFULLI MARC A |
2. Issuer Name and Ticker or Trading Symbol
Bally's Corp
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BALY
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
EVP Strategy & Operations |
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(Last)
(First)
(Middle)
C/O BALLY'S CORPORATION, 100 WESTMINSTER STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/30/2020 |
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(Street)
PROVIDENCE, RI 02903
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 12/31/2020 | | M | | 4743 | A | $0 | 10000 | D | |
| Common Stock | 12/31/2020 | | M | | 10013 | A | $0 | 20013 | D | |
| Common Stock | 12/31/2020 | | M | | 21756 | A | $0 | 41769 | D | |
| Common Stock | 12/31/2020 | | F(1) | | 16555 | D | $50.23 | 25214 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security
(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) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Restricted Stock Unit | (2) | 12/31/2020 | | M | | | 4743 | (3) | (3) | Common Stock | 4743.0 | $0 | 1580 | D | |
| Restricted Stock Unit | (2) | 12/31/2020 | | M | | | 10013 | (4) | (4) | Common Stock | 10013.0 | $0 | 10014 | D | |
| Restricted Stock Unit | (2) | 12/31/2020 | | M | | | 21756 | (5) | (5) | Common Stock | 21756.0 | $0 | 21757 | D | |
| Restricted Stock Unit | (2) | 12/30/2020 | | A (6) | | 109529 | | (6) | (6) | Common Stock | 109529.0 | $0 | 109529 | D | |
| Explanation of Responses: |
| (1) | On December 31, 2020, 36,512 shares of Bally's Corporation (the "Company") restricted stock units vested. The Company retained 16,555 shares on that date to satisfy certain tax withholding obligations in connection with the vesting. |
| (2) | Each restricted stock unit represents the right to receive one share of Company common stock upon vesting in accordance with the terms of the reporting person's restricted stock unit agreement. |
| (3) | On May 8, 2019, the reporting person was granted 9,485 restricted stock units which vest in installments of 33%, 50% and 17% on December 31, 2019, December 31, 2020 and May 1, 2021, respectively. |
| (4) | On May 5, 2020, the reporting person was granted 20,027 restricted stock units which vest in two equal installments on December 31, 2020 and 2021. |
| (5) | On January 2, 2020, the reporting person was granted 65,269 restricted stock units which vest in equal installments on January 15, 2020, December 31, 2020 and January 2, 2022. |
| (6) | On December 30, 2020, the reporting person was granted 109,529 restricted stock units which vests in equal installments on December 30, 2021, December 30, 2022, and December 30, 2023. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
CRISAFULLI MARC A
C/O BALLY'S CORPORATION
100 WESTMINSTER STREET
PROVIDENCE, RI 02903 |
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| EVP Strategy & Operations |
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Signatures
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| /s/Joseph McGrail - Attorney-in-Fact | | 1/4/2021 |
| **Signature of Reporting Person | Date |
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