-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, M12JSJIxg+SLWSH4poK0azCBbuUV3AfIM3p5qdRfrYsE0u5jpdTMgQcimo6sCoLP zsYnwvDt4fZqZuCdNEdTkQ== 0000902561-99-000467.txt : 19991018 0000902561-99-000467.hdr.sgml : 19991018 ACCESSION NUMBER: 0000902561-99-000467 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991005 FILED AS OF DATE: 19991015 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: LADY LUCK GAMING CORP CENTRAL INDEX KEY: 0000906527 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MISCELLANEOUS AMUSEMENT & RECREATION [7990] IRS NUMBER: 880295602 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 000-22436 FILM NUMBER: 99729114 BUSINESS ADDRESS: STREET 1: 220 STEWART AVENUE CITY: LAS VEGAS STATE: NV ZIP: 89101 BUSINESS PHONE: 7024773000 MAIL ADDRESS: STREET 1: 220 STEWART AVENUE CITY: LAS VEGAS STATE: NV ZIP: 89101 COMPANY DATA: COMPANY CONFORMED NAME: ISLE OF CAPRI CASINOS INC CENTRAL INDEX KEY: 0000863015 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MISCELLANEOUS AMUSEMENT & RECREATION [7990] OTHER IRS NUMBER: 411659606 STATE OF INCORPORATION: DE FISCAL YEAR END: 0425 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 711 WASHINGTON LOOP STREET 2: 2ND FLR CITY: BILOXI STATE: MS ZIP: 39530 BUSINESS PHONE: 6014367000 MAIL ADDRESS: STREET 1: 711 WASHINGTON LOOP STREET 2: 711 WASHINGTON LOOP CITY: BILOXI STATE: MS ZIP: 39530 FORMER COMPANY: FORMER CONFORMED NAME: CASINO AMERICA INC DATE OF NAME CHANGE: 19930328 FORMER COMPANY: FORMER CONFORMED NAME: ANUBIS II CORP DATE OF NAME CHANGE: 19600201 3 1 ------------------------------ OMB APPROVAL ------------------------------ OMB Number Expires: Estimated average burden hours per response ....... 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 3 INITIAL STATEMENT OF 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(f) of the Investment Company Act of 1940 _______________________________________________________________________________ 1. Name and Address of Reporting Person* Isle of Capri Casinos, Inc. - ------------------------------------------------------------------------------- (Last) (First) (Middle) 711 Dr. Martin Luther King, Jr. Boulevard - ------------------------------------------------------------------------------- (Street) Biloxi Mississippi 39530 - ------------------------------------------------------------------------------- (City) (State) (Zip) _______________________________________________________________________________ 2. Date of Event Requiring Statement (Month/Day/Year) 10/5/99 _______________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) 41-1659606 _______________________________________________________________________________ 4. Issuer Name and Ticker or Trading Symbol Lady Luck Gaming Corporation (NasdaqSC: LUCK) _______________________________________________________________________________ 5. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [X] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) Holder of an option to purchase shares (see Note 1 below) ------------------------------------------------- _______________________________________________________________________________ 6. If Amendment, Date of Original (Month/Day/Year) _______________________________________________________________________________ 7. Individual or Joint/Group Filing (Check applicable line) [X] Form Filed by One Reporting Person [ ] Form Filed by More than One Reporting Person =============================================================================== Table I -- Non-Derivative Securities Beneficially Owned ===============================================================================
3. Ownership Form: 2. Amount of Securities Direct (D) or 1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership (Instr. 4) (Instr. 4) (Instr. 5) (Instr. 4) - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- =================================================================================================================================== * If the Form is filed by more than one Reporting Person, see Instruction 5(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. - -------------- 1/ As of October 5, 1999, in connection with the proposed merger of a wholly-owned subsidiay of Isle of Capri Casinos, Inc. ("Isle") with and into Lady Luck Gaming Corporation ("Lady Luck") pursuant to an Agreement and Plan of Merger among Isle, Isle Merger Corp Lady Luck, Isle and Andrew H. Tompkins ("Tompkins ("Tompkins") entered into a Stockholder Support Agreement pursuant to which Tompkins granted Isle and option (the "Option") to purchase shares of Lady Luck Common Stock which he owns at a price per share of $12.00. The Option is exercisable as follows: (i) immediately for the purchase of 1,707,863 shares, representing 34.99% of the outstanding shares of Lady Luck Common Stock, and (ii) upon a breach by Tompkins of his obligations under the Stockholder Support Agreement, an additional 506,807 shares (the "Additional Shares"). Isle disclaims beneficial ownership of the Additional Shares which may be acquired by Isle only upon a breach by Tompkins of his obligations (which has not occurred) on the grounds that that portion of the Option is not currently exercisable.
(Form 3-07/98 (Over) FORM 3 (continued) Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ===============================================================================
5. Owner- 3. Title and Amount of Securities ship Underlying Derivative Security Form of 2. Date Exercisable (Instr. 4) Derivative and Expiration Date --------------------------------- 4. Conver- Security: (Month/Day/Year) Amount sion or Direct 6. Nature of ---------------------- or Exercise (D) or Indirect Date Expira- Number Price of Indirect Beneficial 1. Title of Derivative Exer- tion of Derivative (I) Ownership Security (Instr. 4) cisable Date Title Shares Security (Instr. 5) (Instr. 5) - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock, D Option 1 Immed. 12/31/00 (2) $.006 par 1,707,863 (1) $12.00 - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- ===================================================================================================================================
Explanation of Responses: Isle of Capri Casinos, Inc. /s/ Allan B. Solomon 10/15/99 - ------------------------------------------------ ----------------------- By: Allan B. Solomon, Executive Vice President, Date Secretary, General Counsel and Director of Isle of Capri Casinos, Inc. **Signature of Reporting Person ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. - --------------------- 2/ The option may expire earlier than 12/31/00 upon the termination of the Merger Agreement under certain circumstances. Page 2 of 2 -----END PRIVACY-ENHANCED MESSAGE-----