0001181431-13-033137.txt : 20130605 0001181431-13-033137.hdr.sgml : 20130605 20130605215826 ACCESSION NUMBER: 0001181431-13-033137 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130604 FILED AS OF DATE: 20130605 DATE AS OF CHANGE: 20130605 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: SIMON JAMES CENTRAL INDEX KEY: 0001410543 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12522 FILM NUMBER: 13895901 MAIL ADDRESS: STREET 1: 701 N. GREEN VALLEY PARKWAY STREET 2: SUITE 200 CITY: HENDERSON STATE: NV ZIP: 89074 4 1 rrd382410.xml FORM 4 X0306 4 2013-06-04 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 2013-06-04 4 X 0 10664 1.8901 A 43421 D Subscription Rights (right to buy) 1.8901 2013-06-04 4 X 0 10664 0 D 2013-04-30 2013-05-30 Common Stock, $.01 par value per share 10664 0 D On April 30, 2013, the Company issued, to each holder of record as of April 8, 2013, subscription rights to acquire shares of common stock of the Company (the "Rights Offering") in accordance with the terms set forth in a prospectus, dated April 30, 2013, related to the Rights Offering. On June 4, 2013, the reporting person fully exercised his basic subscription right to purchase 5,332 shares of common stock, and exercised his over-subscription right to purchase additional shares unclaimed by other rights holders. The reporting person was allocated 5,332 additional shares pursuant to the exercise of his over-subscription right. /s/ James Simon 2013-06-04