Statement of Changes in Beneficial Ownership (4)
February 25 2021 - 4:22PM
Edgar (US Regulatory)
FORM 4
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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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CAPP STEPHEN H |
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)
Executive Vice President, CFO |
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(Last)
(First)
(Middle)
C/O BALLY'S CORPORATION, 100 WESTMINSTER STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/23/2021 |
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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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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 | (1) | 2/23/2021 | | A | | 19011 | | (2) | (2) | Common Stock | 19011.0 | $0 | 19011 | D | |
| Explanation of Responses: |
| (1) | Each restricted stock unit represents the right to receive one share of Bally's Corporation common stock upon vesting in accordance with the terms of the reporting person's restricted stock unit agreement. |
| (2) | On February 23, 2021, the reporting person was granted 19,011 restricted stock units of which 6,199 and 12,812 will vest on December 31, 2021 and 2022, respectively. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
CAPP STEPHEN H
C/O BALLY'S CORPORATION
100 WESTMINSTER STREET
PROVIDENCE, RI 02903 |
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| Executive Vice President, CFO |
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Signatures
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| /s/ Joseph McGrail, Attorney- In Fact | | 2/25/2021 |
| **Signature of Reporting Person | Date |
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