0000899243-19-027383.txt : 20191115 0000899243-19-027383.hdr.sgml : 20191115 20191115163859 ACCESSION NUMBER: 0000899243-19-027383 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191115 FILED AS OF DATE: 20191115 DATE AS OF CHANGE: 20191115 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Horner Nanette L. CENTRAL INDEX KEY: 0001499920 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12522 FILM NUMBER: 191225004 MAIL ADDRESS: STREET 1: C/O MONTICELLO CASINO RACEWAY, ROUTE 17B STREET 2: P.O. BOX 5013 CITY: MONTICELLO STATE: NY ZIP: 12701 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 2019-11-15 0 0000906780 EMPIRE RESORTS INC NYNY 0001499920 Horner Nanette L. C/O MONTICELLO CASINO AND RACEWAY ROUTE 17B, P.O. BOX 5013 MONTICELLO NY 12701 0 1 0 0 EVP, Chief Counsel, CCO Common Stock, par value $.01 per share 2019-11-15 4 D 0 27584 9.74 D 0 D Restricted Stock Units 2019-11-15 4 D 0 11250 D Common Stock, par value $.01 per share 11250 0 D Disposed of pursuant to the Agreement and Plan of Merger, by and between Empire Resorts, Inc. (the "Company"), Hercules Topco LLC, and Hercules Merger Subsidiary Inc. (the "Merger Agreement"), on the effective date of the merger. On January 20, 2019, Ms. Horner was granted 22,500 restricted stock units ("RSUs") under the Empire Resorts, Inc. 2015 Equity Incentive Plan, as amended, of which 11,250 shares vested immediately on the date of grant and 11,250 shares were to vest on March 20, 2020. Each RSU represented the right to receive one share of the Company's common stock. On the effective date of the merger, all outstanding RSUs, whether or not then vested, were canceled, extinguished and converted into the right to receive the merger consideration issuable to holders of common stock pursuant to the Merger Agreement. /s/ Nanette L. Horner 2019-11-15