0001181431-13-058720.txt : 20131113 0001181431-13-058720.hdr.sgml : 20131113 20131113160840 ACCESSION NUMBER: 0001181431-13-058720 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131112 FILED AS OF DATE: 20131113 DATE AS OF CHANGE: 20131113 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: Polle Gregg CENTRAL INDEX KEY: 0001509460 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12522 FILM NUMBER: 131214684 MAIL ADDRESS: STREET 1: C/O MONTICELLO CASINO AND RACEWAY STREET 2: ROUTE 17B, P.O. BOX 5013 CITY: MONTICELLO STATE: NY ZIP: 12701 4 1 rrd395317.xml FORM 4 X0306 4 2013-11-12 0 0000906780 EMPIRE RESORTS INC NYNY 0001509460 Polle Gregg 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 2013-11-12 4 A 0 10000 0 A 33334 D Option to purchase Common Stock (right to buy) 4.95 2013-11-12 4 A 0 10000 0 A 2018-11-12 Common Stock, $.01 par value per share 10000 10000 D Restricted stock grant under the 2005 Empire Resorts, Inc. Equity Incentive Plan (the "Plan"), which shall vest on January 4, 2015. Option grant under the Plan, which shall vest as to 2,500 immediately, as to 2,500 on February 12, 2014, as to 2,500 on May 12, 2014 and as to the remaining 2,500 on August 12, 2014. Gregg Polle By /s/ Nanette L. Horner, By Power of Attorney 2013-11-13