3 1 form3.txt FORM 3
FORM 3 U.S. SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL Washington, D.C. 20549 OMB Number 3235-0104 Expires: January 31, 2005 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Estimated average burden hours per response ... 0.5 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 2. Date of Event 4. Issuer Name and Ticker or Trading Person* Requiring Statement Symbol (Month/Day/Year) Trump Hotels & Casino Resorts Holdings, L.P. December 26, 2002 Riviera Holdings Corporation (AMEX:RIV) ------------------------------------------------------------------------------------------------------------------------------------ (Last) (First) (Middle) 3. I.R.S. or Social 5. Relationship of Reporting Person 6. If Amendment, Date of Security Number of to Issuer (Check all applicable) Original (Month/Day/Year) Person (Voluntary) 1000 Broadwalk at Virginia Avenue ---------------------------- -------------------------------------- Director X 10% Owner 7. Individual or Joint/Group (Street) --- --- Filing (Check applicable line) Atlantic City NJ 08401 --- Officer --- Other X Form filed by one -------------------------------------- (give title below) (specify below) --- Reporting Person (City) (State) (Zip) Form filed by more --- than one Reporting Person ------------------------------------------------------------------------------------------------------------------------------------ Table I-- Non-Derivative Securities Beneficially Owned ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Amount of Securities 3. Ownership Form: 4. Nature of Indirect (Instr. 4) Beneficially Owned Direct (D) or Beneficial Ownership (Instr. 4) Indirect (I) (Instr. 5) (Instr. 5) ------------------------------------------------------------------------------------------------------------------------------------ No securities owned ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one Reporting Person, see Instruction 5(b)(v). Page 1 of 2 SEC 1473 (7-02) 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.
------------------------------------------------------------------------------------------------------------------------------------ FORM 3 (continued) Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 2. Date Exercisable 3. Title and Amount of Securities 4. Conversion 5. Ownership 6. Nature of Security (Instr. 4) and Expiration Date Underlying Derivative Security or Exercise Form of Indirect (Month/Day/Year) (Instr. 4) Price of Derivative Beneficial Derivative Security: Ownership Security Direct (D) or (Instr. 5) --------------------------------------------------------- Indirect (I) (Instr. 5) Amount or Date Expiration Title Number of Exercisable Date Shares ------------------------------------------------------------------------------------------------------------------------------------ Option (right to buy) 7/10/02 12/31/03 Common Stock, par 350,000 (1) D value $0.001 per share ------------------------------------------------------------------------------------------------------------------------------------ Option (right to buy) 12/26/02 12/31/03 Common Stock, par 8,000 (2) D value $0.001 per share ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Explanation of Responses: (1) Option exercisable, in whole and not in part, at an exercise price equal to the greater of (i) $2,275,000 (the amount paid by Donald J. Trump, grantor of the option, for the underlying shares) plus incurred brokerage and/or other commissions and/or fees paid by Mr. Trump or (ii) the fair market value of the shares on the date of exercise based on the average closing sale price of the Issuer's Common Stock on the American Stock Exchange for the 20 trading days immediately preceding the date of exercise. (2) Option exercisable, in whole and not in part and concurrently with the above-referenced Option, at an exercise price equal to the greater of (i) $37,970.40 (the amount paid by Donald J. Trump, grantor of the option, for the underlying shares) plus incurred brokerage and/or other commissions and/or fees paid by Mr. Trump or (ii) the fair market value of the shares on the date of exercise based on the average closing sale price of the Issuer's Common Stock on the American Stock Exchange for the 20 trading days immediately preceding the date of exercise. TRUMP HOTELS & CASINO RESORTS HOLDINGS, L.P. By: Trump Hotel & Casino Resorts, Inc., its General Partner By: /s/ John P. Burke December 27, 2002 -------------------------------- ------------------ Name: John P. Burke Date Title: Executive Vice President and Corporate Treasurer *If the form is filed by more than one reporting person, see Instruction 5(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). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, See Instruction 6 for procedure. Page 2 of 2 SEC 1473 (3-99)