0000899243-18-031247.txt : 20181217 0000899243-18-031247.hdr.sgml : 20181217 20181217181325 ACCESSION NUMBER: 0000899243-18-031247 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181214 FILED AS OF DATE: 20181217 DATE AS OF CHANGE: 20181217 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: 181239030 MAIL ADDRESS: STREET 1: 250 EAST 79TH STREET CITY: NEW YORK STATE: NY ZIP: 10075 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-12-14 0 0000906780 EMPIRE RESORTS INC NYNY 0001315915 PEARLMAN EMANUEL R 350 EAST 79TH STREET NEW YORK NY 10075 1 1 0 0 Executive Chairman Common Stock, $.01 par value per share 2018-12-14 4 S 0 1000 10.339 D 138320 D Common Stock, $.01 par value per share 2018-12-17 4 S 0 1000 9.905 D 137320 D The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2018. The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions at prices ranging from $9.80 to $10.60, inclusive. The reporting person undertakes to provide to Empire Resorts, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions at prices ranging from $9.69 to $10.35, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. /s/ Nanette L. Horner, by Power of Attorney 2018-12-17