0000899243-15-007401.txt : 20151102 0000899243-15-007401.hdr.sgml : 20151102 20151102202709 ACCESSION NUMBER: 0000899243-15-007401 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151029 FILED AS OF DATE: 20151102 DATE AS OF CHANGE: 20151102 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: EMPIRE RESORTS INC CENTRAL INDEX KEY: 0000906780 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING & DRINKING PLACES [5810] IRS NUMBER: 133714474 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 204 STATE ROUTE 17B STREET 2: P.O. BOX 5013 CITY: MONTICELLO STATE: NY ZIP: 12701 BUSINESS PHONE: (845) 807-0001 MAIL ADDRESS: STREET 1: 204 STATE ROUTE 17B STREET 2: P.O. BOX 5013 CITY: MONTICELLO STATE: NY ZIP: 12701 FORMER COMPANY: FORMER CONFORMED NAME: ALPHA HOSPITALITY CORP DATE OF NAME CHANGE: 19930614 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: D AMATO JOSEPH A CENTRAL INDEX KEY: 0001472400 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12522 FILM NUMBER: 151191991 MAIL ADDRESS: STREET 1: C/O MONTICELLO CASINO AND RACEWAY STREET 2: ROUTE 17B, PO BOX 5013 CITY: MONTICELLO STATE: NY ZIP: 12701 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-10-29 0 0000906780 EMPIRE RESORTS INC NYNY 0001472400 D AMATO JOSEPH A C/O MONTICELLO CASINO AND RACEWAY ROUTE 17B, P.O. BOX 5013 MONTICELLO NY 12701 1 1 0 0 Chief Executive Officer Common Stock, $.01 par value per share 2015-10-29 4 M 0 53333 2.79 A 265630 D Common Stock, $.01 par value per share 2015-10-29 4 D 0 39216 4.81 D 226414 D Employee Stock Option (right to buy) 2.79 2015-10-29 4 M 0 53333 0.00 D 2015-11-08 Common Stock, $.01 par value per share 53333 0 D The exercise of the option was net settled with the Company and 30,935 shares of common stock were withheld to pay the exercise price and 8,281 shares of common stock were withheld to pay the applicable tax payments relating to the exercise pursuant to Section 16b-3(e) under the Securities Exchange Act of 1934. The option was fully vested and exercisable as of November 9, 2013. /s/ Joseph A. D'Amato 2015-11-02