-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, DpyaFOXMJyt7NonK3XBgGCFtPeGfSAC/6y8SwRzoGtQj3bPU0EOAjSccT5z8VEXI 0Fx+r1dnwzq1lDUmBWt3OA== 0000921895-11-000024.txt : 20110105 0000921895-11-000024.hdr.sgml : 20110105 20110105144047 ACCESSION NUMBER: 0000921895-11-000024 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110103 FILED AS OF DATE: 20110105 DATE AS OF CHANGE: 20110105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SIMON JAMES CENTRAL INDEX KEY: 0001410543 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12522 FILM NUMBER: 11510301 MAIL ADDRESS: STREET 1: 701 N. GREEN VALLEY PARKWAY STREET 2: SUITE 200 CITY: HENDERSON STATE: NV ZIP: 89074 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: RT 17B STREET 2: P.O. BOX 5013 CITY: MONTICELLO STATE: NY ZIP: 12701 BUSINESS PHONE: (845) 807-0001 MAIL ADDRESS: STREET 1: RT 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 form405558001a_01042011.xml X0303 4 2011-01-03 0 0000906780 EMPIRE RESORTS INC NYNY 0001410543 SIMON JAMES C/O MONTICELLO CASINO AND RACEWAY ROUTE 17B, P.O. BOX 5013 MONTICELLO NY 12701 1 0 0 0 Common Stock, $.01 par value per share 2011-01-03 4 A 0 10000 0 A 38270 D Stock Option (right to purchase) .99 2011-01-03 4 A 0 10000 0 A 2016-01-03 Common Stock, $.01 par value per share 10000 10000 D Consists of a grant of 10,000 shares of restricted stock which shall vest on January 3, 2012. This grant consists of a 5 year term option to purchase 10,000 shares of common stock which shall vest as follows: 1/4 upon grant, 1/4 on April 3, 2011, 1/4 on July 3, 2011 and 1/4 on October 3, 2011. By: /s/ James Simon 2011-01-04 -----END PRIVACY-ENHANCED MESSAGE-----