-----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, EY+iR0h1xT+6LoTuHpyw3pPIIwon8qdMqgHJCHVqlloteSdqlDENMQr8VtEydGsd N+JAZnKAre28ngfJ2o0Isw== 0001019056-09-001145.txt : 20091120 0001019056-09-001145.hdr.sgml : 20091120 20091120170820 ACCESSION NUMBER: 0001019056-09-001145 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091113 FILED AS OF DATE: 20091120 DATE AS OF CHANGE: 20091120 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CAPPELLI LOUIS CENTRAL INDEX KEY: 0001432054 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12522 FILM NUMBER: 091199467 MAIL ADDRESS: STREET 1: C/O CAPPELLI ENTERPRISES STREET 2: 115 STEVENS AVENUE CITY: VALHALLA STATE: NY ZIP: 10595 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cappelli Resorts LLC CENTRAL INDEX KEY: 0001437929 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12522 FILM NUMBER: 091199465 BUSINESS ADDRESS: STREET 1: C/O CAPPELLI ENTERPRISES, INC. STREET 2: 115 STEVENS AVENUE CITY: VALHALLA STATE: NY ZIP: 10595 BUSINESS PHONE: 914-769-6500 MAIL ADDRESS: STREET 1: C/O CAPPELLI ENTERPRISES, INC. STREET 2: 115 STEVENS AVENUE CITY: VALHALLA STATE: NY ZIP: 10595 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LRC Acquisition LLC CENTRAL INDEX KEY: 0001437954 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12522 FILM NUMBER: 091199466 BUSINESS ADDRESS: STREET 1: C/O CAPPELLI ENTERPRISES, INC. STREET 2: 115 STEVENS AVENUE CITY: VALHALLA STATE: NY ZIP: 10595 BUSINESS PHONE: 914-769-6500 MAIL ADDRESS: STREET 1: C/O CAPPELLI ENTERPRISES, INC. STREET 2: 115 STEVENS AVENUE CITY: VALHALLA STATE: NY ZIP: 10595 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2009-11-13 0000906780 EMPIRE RESORTS INC NYNY 0001432054 CAPPELLI LOUIS C/O CAPPELLI ENTERPRISES, INC. 115 STEVENS AVENUE VALHALLA NY 10595 1 0 0 0 0001437954 LRC Acquisition LLC C/O CAPPELLI ENTERPRISES, INC. 115 STEVENS AVENUE VALHALLA NY 10595 0 0 0 1 X 0001437929 Cappelli Resorts LLC C/O CAPPELLI ENTERPRISES, INC. 115 STEVENS AVENUE VALHALLA NY 10595 0 0 0 1 X Call Options (obligations to sell) 3.00 2009-11-13 4 S 0 100000 10.00 D 2009-11-13 2010-12-31 Common Stock 100000 0 I By LRC Acquisition LLC This amount is in addition to an agreement by the holder of the call options reported in this Form 4 to make additional credit available to LRC Acquisition LLC pursuant to an existing credit agreement between the holder and LRC Acquisition LLC. Louis R. Cappelli serves as the managing member and majority owner of LRC Acquisition LLC and Cappelli Resorts LLC, and indirectly owns the shares of Empire Resorts, Inc. ("Empire") common stock reported on this Form 4. LRC Acquisition LLC directly owns 4,200,000 of the shares reported on this Form 4 (the "LRC Shares"). Cappelli Resorts LLC directly owns 1,174,512 of the shares reported on this Form 4 (the "Cappelli Resorts Shares"). Each of LRC Acquisition LLC and Cappelli Resorts LLC beneficially owns less than ten percent (10%) of the outstanding shares of Empire. Each of LRC Acquisition LLC and Cappelli Resorts LLC disclaims beneficial ownership of the shares reported on this Form 4 other than the LRC Shares and the Cappelli Resorts Shares, respectively. /s/ LOUIS R. CAPPELLI 2009-11-19 LRC ACQUISITION LLC /s/ LOUIS R. CAPPELLI, Managing Member 2009-11-19 CAPPELLI RESORTS LLC /s/ LOUIS R. CAPPELLI, Managing Member 2009-11-19 -----END PRIVACY-ENHANCED MESSAGE-----