0000899243-15-007781.txt : 20151110 0000899243-15-007781.hdr.sgml : 20151110 20151109162547 ACCESSION NUMBER: 0000899243-15-007781 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151105 FILED AS OF DATE: 20151109 DATE AS OF CHANGE: 20151109 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: PEARLMAN EMANUEL R CENTRAL INDEX KEY: 0001315915 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12522 FILM NUMBER: 151215975 MAIL ADDRESS: STREET 1: 250 EAST 79TH STREET CITY: NEW YORK STATE: NY ZIP: 10075 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-11-05 0 0000906780 EMPIRE RESORTS INC NYNY 0001315915 PEARLMAN EMANUEL R 350 EAST 79TH STREET NEW YORK NY 10075 1 0 0 0 Common Stock, $.01 par value per share 2015-11-05 4 M 0 269933 2.79 A 556478 D Common Stock, $.01 par value per share 2015-11-05 4 D 0 158885 4.74 D 397593 D Common Stock, $.01 par value per share 2015-11-05 4 M 0 13333 2.79 A 410926 D Common Stock, $.01 par value per share 2015-11-05 4 D 0 7848 4.74 D 403078 D Common Stock, $.01 par value per share 2015-11-05 4 M 0 3333 2.97 A 406411 D Common Stock, $.01 par value per share 2015-11-05 4 D 0 2088 4.74 D 404323 D Stock Option (right to buy) 2.79 2015-11-05 4 M 0 269933 0.00 D 2015-11-08 Common stock, $.01 par value per share 269933 0 D Stock Option (right to buy) 2.79 2015-11-05 4 M 0 13333 0.00 D 2015-11-08 Common stock, $.01 par value per share 13333 0 D Stock Option (right to buy) 2.97 2015-11-05 4 M 0 3333 0.00 D 2016-01-02 Common stock, $.01 par value per share 3333 0 D The exercise of the option was net settled with the Company and 158,885 shares were withheld to pay the applicable exercise price pursuant to Section 16b-3(e) under the Securities Exchange Act of 1934. The exercise of the option was net settled with the Company and 7,848 shares were withheld to pay the applicable exercise price pursuant to Section 16b-3(e) under the Securities Exchange Act of 1934. The exercise of the option was net settled with the Company and 2,088 shares were withheld to pay the applicable exercise price 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. The option was fully vested and exercisable as of November 9, 2013. The option was fully vested and exercisable as of October 3, 2011. /s/ Nanette L. Horner, by Power of Attorney 2015-11-09