0000899243-15-008707.txt : 20151123 0000899243-15-008707.hdr.sgml : 20151123 20151123160843 ACCESSION NUMBER: 0000899243-15-008707 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151118 FILED AS OF DATE: 20151123 DATE AS OF CHANGE: 20151123 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: Polle Gregg CENTRAL INDEX KEY: 0001509460 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-12522 FILM NUMBER: 151249792 MAIL ADDRESS: STREET 1: C/O MONTICELLO CASINO AND RACEWAY STREET 2: ROUTE 17B, P.O. BOX 5013 CITY: MONTICELLO STATE: NY ZIP: 12701 4/A 1 doc4a.xml FORM 4/A SUBMISSION X0306 4/A 2015-11-18 2015-11-18 0 0000906780 EMPIRE RESORTS INC NYNY 0001509460 Polle Gregg 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 2015-11-18 4 M 0 5000 3.03 A 63334 D Common Stock, $.01 par value per share 2015-11-18 4 D 0 3616 4.19 D 59718 D Common Stock, $.01 par value per share 2015-11-18 4 M 0 3333 2.97 A 63051 D Common Stock, $.01 par value per share 2015-11-18 4 D 0 2363 4.19 D 60688 D Stock Option (right to buy) 3.03 2015-11-18 4 M 0 5000 0.00 A 2015-12-27 Common Stock, $.01 par value per share 5000 0 D Stock Option (right to buy) 2.97 2015-11-18 4 M 0 3333 0.00 A 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 3,616 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 2,363 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 December 28, 2010. The option was fully vested and exercisable as of October 3, 2011. /s/ Nanette L. Horner, by Power of Attorney 2015-11-23