0000899243-15-007604.txt : 20151104 0000899243-15-007604.hdr.sgml : 20151104 20151104180835 ACCESSION NUMBER: 0000899243-15-007604 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151102 FILED AS OF DATE: 20151104 DATE AS OF CHANGE: 20151104 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: SIMON JAMES CENTRAL INDEX KEY: 0001410543 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12522 FILM NUMBER: 151198209 MAIL ADDRESS: STREET 1: C/O MONTICELLO CASINO AND RACEWAY STREET 2: 204 STATE ROUTE 17B, P.O. BOX 5013 CITY: MONTICELLO STATE: NY ZIP: 12701 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-11-02 0 0000906780 EMPIRE RESORTS INC NYNY 0001410543 SIMON JAMES C/O MONTICELLO CASINO AND RACEWAY 204 STATE ROUTE 17B, P.O. BOX 5013 MONTICELLO NY 12701 1 0 0 0 Common Stock, $.01 par value per share 2015-11-02 4 M 0 12153 2.79 A 84028 D Common Stock, $.01 par value per share 2015-11-02 4 S 0 12153 4.6978 D 71875 D Common Stock, $.01 par value per share 2015-11-03 4 M 0 1180 2.79 A 73055 D Common Stock, $.01 par value per share 2015-11-03 4 S 0 1180 4.70 D 71875 D Common Stock, $.01 par value per share 2015-11-03 4 A 0 15000 0.00 A 86875 D Option to purchase Common Stock (right to buy) 2.79 2015-11-02 4 M 0 12153 0.00 D 2015-11-08 Common Stock, $.01 par value per share 12153 1180 D Option to purchase Common Stock (right to buy) 2.79 2015-11-03 4 M 0 1180 0.00 D 2015-11-08 Common Stock, $.01 par value per share 1180 0 D The exercise of an option held by Mr. Simon and the sale of the underlying shares were effected pursuant to a Rule 10b5-1 trading plan adopted by Mr. Simon effective as of November 12, 2013. The price reported in Column 4 is a weighted average price. These shares were sold in more than one transaction at a price ranging from $4.60 to $4.80, inclusive. The reporting person undertakes to provide to Empire Resorts, Inc., any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Restricted stock grant under the 2015 Empire Resorts, Inc. Equity Incentive Plan, which shall vest on January 6, 2017. The option was fully vested as of November 9, 2013. /s/ Nanette L. Horner, By Power of Attorney 2015-11-04