0001181431-14-008977.txt : 20140224 0001181431-14-008977.hdr.sgml : 20140224 20140224212744 ACCESSION NUMBER: 0001181431-14-008977 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140224 FILED AS OF DATE: 20140224 DATE AS OF CHANGE: 20140224 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: Palumbo Nancy CENTRAL INDEX KEY: 0001465374 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12522 FILM NUMBER: 14638711 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 rrd403614.xml FORM 4 X0306 4 2014-02-24 0 0000906780 EMPIRE RESORTS INC NYNY 0001465374 Palumbo Nancy 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 2014-02-24 4 M 0 3333 6.90 A 40000 D Common Stock, $.01 par value per share 2014-02-24 4 S 0 3333 7.50 D 36667 D Option to purchase Common Stock (right to buy) 6.90 2014-02-24 4 M 0 3333 0 D 2015-01-03 Common Stock, $.01 par value per share 3333 0 D The exercise of options held by Ms. Palumbo and the sale of the underlying shares were effected pursuant to a Rule 10b5-1 trading plan adopted by Ms. Palumbo effective as of December 13, 2013. The option was fully vested as of October 4, 2010. /s/ Nanette L. Horner, by Power of Attorney 2014-02-24