0000903423-15-000093.txt : 20150209 0000903423-15-000093.hdr.sgml : 20150209 20150209153738 ACCESSION NUMBER: 0000903423-15-000093 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150206 FILED AS OF DATE: 20150209 DATE AS OF CHANGE: 20150209 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: Lim Kok Thay CENTRAL INDEX KEY: 0001470308 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12522 FILM NUMBER: 15588377 MAIL ADDRESS: STREET 1: 22ND FLOOR, WISMA GENTING STREET 2: JALAN SULTAN ISMAIL CITY: KUALA LUMPUR STATE: N8 ZIP: 50250 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kien Huat Realty III Ltd CENTRAL INDEX KEY: 0001470324 STATE OF INCORPORATION: XX FISCAL YEAR END: 1209 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12522 FILM NUMBER: 15588378 BUSINESS ADDRESS: STREET 1: 22ND FLOOR, WISMA GENTING STREET 2: JALAN SULTAN ISMAIL CITY: KUALA LUMPUR STATE: N8 ZIP: 50250 BUSINESS PHONE: 603-2333-6839 MAIL ADDRESS: STREET 1: 22ND FLOOR, WISMA GENTING STREET 2: JALAN SULTAN ISMAIL CITY: KUALA LUMPUR STATE: N8 ZIP: 50250 4 1 kienhuat-f4_1118ex.xml OWNERSHIP DOCUMENT X0306 4 2015-02-06 0 0000906780 EMPIRE RESORTS INC NYNY 0001470324 Kien Huat Realty III Ltd 21ST FLOOR, WISMA GENTING JALAN SULTAN ISMAIL KUALA LUMPUR MALAYSIA N8 50250 MALAYSIA 0 0 1 0 0001470308 Lim Kok Thay 21ST FLOOR, WISMA GENTING JALAN SULTAN ISMAIL KUALA LUMPUR MALAYSIA N8 50250 MALAYSIA 0 0 1 0 Common Stock 2015-02-06 4 X 0 2667165 7.10 A 31191035 D Subscription Rights (right to buy) 7.10 2015-02-06 4 X 0 2667165 0 D 2015-02-06 2015-02-06 Common Stock 2667165 0 D Purchase of shares pursuant to a Standby Purchase Agreement by and between the Issuer and Kien Huat Realty III Limited. Kien Huat Realty III Ltd. ("Kien Huat") has direct beneficial ownership of the 31,191,035 shares reported in this Form 4 (the "Shares"). Lim Kok Thay ("Mr. Lim") controls Kien Huat through two trusts that directly and indirectly own all the shares of Kien Huat and, therefore, Mr. Lim has indirect beneficial ownership of such Shares. Mr. Lim has the power to remove and replace the trustees of such trusts in his sole discretion and is one of the beneficiaries of such trusts. Mr. Lim disclaims beneficial ownership of the Shares for purposes of Section 16 reporting except to the extent of his pecuniary interest. /s/ Gerard Lim for Kien Huat Realty III Limited 2015-02-06 /s/ Lim Kok Thay by Gerard Lim 2015-02-06