0000899243-16-019703.txt : 20160511 0000899243-16-019703.hdr.sgml : 20160511 20160511175331 ACCESSION NUMBER: 0000899243-16-019703 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160510 FILED AS OF DATE: 20160511 DATE AS OF CHANGE: 20160511 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: Palumbo Nancy CENTRAL INDEX KEY: 0001465374 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12522 FILM NUMBER: 161641037 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 2016-05-10 0 0000906780 EMPIRE RESORTS INC NYNY 0001465374 Palumbo Nancy 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 2016-05-10 4 M 0 2000 9.90 A 63668 D Common Stock, $.01 par value per share 2016-05-10 4 D 0 1088 18.20 D 62580 D Common Stock, $.01 par value per share 2016-05-10 4 M 0 2000 7.95 A 64580 D Common Stock, $.01 par value per share 2016-05-10 4 D 0 874 18.20 D 63706 D Stock Option (right to buy) 9.90 2016-05-10 4 M 0 2000 0.00 D 2016-12-13 Common stock, $.01 par value per share 2000 0 D Stock Option (right to buy) 7.95 2016-05-10 4 M 0 2000 0.00 D 2017-11-06 Common stock, $.01 par value per share 2000 0 D The exercise of the option was net settled with the Company and 1,088 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 874 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 September 14, 2012. The option was fully vested and exercisable as of August 7, 2013. /s/ Nancy Palumbo 2016-05-11