UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | 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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BANK OF AMERICA CORP /DE/ 100 NORTH TRYON STREET CHARLOTTE,, NC 28255 |
 |  |  | See Remarks |
MERRILL LYNCH, PIERCE, FENNER & SMITH INC. ONE BRYANT PARK NEW YORK, NY 10036 |
 |  |  | See Remarks |
/s/ Michael Didovic, Attorney-in-fact of Bank of America Corporation | 02/14/2014 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The shares of Class A Common Stock of Tropicana Las Vegas Hotel & Casino, Inc. (the "Company") are owned directly by Merrill Lynch Pierce Fenner & Smith Incorporated ("Merrill Lynch"). Bank of America Corporation ("BAC") indirectly holds 100% of the interests of Merrill Lynch. |
 Remarks: As more fully described in Post-Effective Amendment No. 1 to Registration Statement on Form 10 filed by Tropicana Las Vegas Hotel and Casino, Inc. (the "Company") on May 28, 2010, all of the Company's stockholders are a party to a certain Stockholders' Agreement, dated as of July 1, 2009 (the "Stockholders' Agreement"), which contains certain agreements as to voting.  Merrill Lynch became a party to the Stockholders' Agreement on May 29, 2013.  The stockholders that are parties to the Stockholders' Agreement may be deemed to be a group that beneficially owns more than 10% of the shares of the Company's Class A Common Stock under Section 13(d) of the Securities Exchange Act of 1934, as amended. BAC indirectly holds 100% of the interest of Merrill Lynch.  Merrill Lynch and BAC disclaim beneficial ownership of the shares of the Company's Class A Common Stock that Merrill Lynch does not hold directly. |