SPECTRE GAMING INC 4

4 · SPECTRE GAMING INC · Filed Oct 4, 2005

Form 4

Period: 2005-09-30

Director

Transactions

Purchase
Warrant
2005-09-30+110,000→ 110,000 total(indirect: By Prolific Publishing, Inc.)
Exercise: $1.00From: 2005-09-30Exp: 2010-09-30→ Common Stock, $.01 par value (110,000 underlying)

Holdings

Stock Options
Exercise: $0.75Exp: 2013-11-17→ Common Stock (83,333 underlying)
83,333
Warrant
(indirect: By Prolific Publishing, Inc.)
Exercise: $3.75From: 2004-11-12Exp: 2009-11-12→ Common Stock (20,000 underlying)
20,000
Common Stock
(indirect: By Prolific Publishing, Inc.)
20,000
Common Stock
(indirect: By Dana M. Mix UTMA)
390
Common Stock
(indirect: By Devon R. Mix UTMA)
165
Stock Options
Exercise: $1.50Exp: 2013-03-22→ Common Stock (600,000 underlying)
600,000

Footnotes (7)

[F1]A trust for the Reporting Person's child who is not a minor. The Reporting Person is not a trustee of such trust and disclaims beneficial ownership of such shares.
[F2]A trust for the Reporting Person's minor child. The Reporting Person disclaims beneficial ownership of such shares.
[F3]A California corporation of which the Reporting Person is a shareholder and a director.
[F4]Pursuant to Rule 16b-3; right to buy.
[F5]20,833 shares vested immediately. 20,833 shares each vest on 11/17/04 and 11/17/05; 20,834 shares vest on 11/17/06.
[F6]60,000 shares vest immediately. 60,000 shares each vest on 3/22/04, 3/22/05, 3/22/06 and 3/22/07. 60,000 shares vested on October 5, 2004 when the stock price traded for 20 consecutive days at $3.00 or above. The remainder of the option vests on the earlier of 3/22/2013 or in 60,000 share increments when the stock price trades for 20 consecutive trading dates at $5.00, $7.00, $9.00 and $10.00.
[F7]Warrants issued in connection with the purchase of a Convertible Note to Prolific Publishing, Inc. See Note (3) above.

Documents

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