-----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, FGz6GdzOXqVid20TKVtWGuakQhVpw318ssvqovzJLvArNILKkHT1wdf1soJnJWSQ vEZz13mUzOKhNkanBCRnoA== 0001209191-06-004385.txt : 20060120 0001209191-06-004385.hdr.sgml : 20060120 20060120170057 ACCESSION NUMBER: 0001209191-06-004385 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060118 FILED AS OF DATE: 20060120 DATE AS OF CHANGE: 20060120 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BERMAN ROBERT ALAN CENTRAL INDEX KEY: 0001169337 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12522 FILM NUMBER: 06541365 BUSINESS ADDRESS: STREET 1: ALPHA HOSPITALITY CORP STREET 2: 29-76 NORTHERN BLVD CITY: LONG ISLAND CITY STATE: NY ZIP: 11101 BUSINESS PHONE: 7186853014 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 c01771_01rab.xml MAIN DOCUMENT DESCRIPTION X0202 4 2006-01-18 0000906780 EMPIRE RESORTS INC NYNY 0001169337 BERMAN ROBERT ALAN 4446 STREET, ROUTE 42 MONTICELLO NY 12701 0 0 1 0 Common Stock, $.01 par value 3209108 D Common Stock, $.01 par value 2005-11-29 5 G 0 E 10000 0 D 236602 I By Avon Road Partners, LP Common Stock, $.01 par value 2006-01-18 4 S 0 35000 6.85 D 201602 I By Avon Road Partners, LP Common Stock, $.01 par value 2006-01-19 4 S 0 20000 7.03 D 181602 I By Avon Road Partners, LP Common Stock, $.01 par value 2006-01-20 4 S 0 10000 6.825 D 171602 I By Avon Road Partners, LP Common Stock, $.01 par value 2006-01-20 4 S 0 2500 6.85 D 169102 I By Avon Road Partners, LP Common Stock, $.01 par value 2006-01-20 4 S 0 7500 6.90 D 161602 I By Avon Road Partners, LP Common Stock, $.01 par value 12272 I By Trust Common Stock, $.01 par value 25000 I By Watertone Holdings, L.P. Includes 99,098 shares that are subject to a pre-paid variable forward sale contract described in a Form 4 filed by the Reporting Person on March 11, 2005. Includes 161,602 shares that are subject to a pre-paid variable forward sale contract described in a Form 4 filed by the Reporting Person on March 11, 2005. The Reporting Person is the general partner of Avon Road Partners, LP. These shares are held by the Berman Family Trust. Debbie N. Berman is trustee for the Berman Family Trust and has sole power to vote or to direct the vote and sole power to dispose or to direct the disposition of these shares. Robert A. Berman disclaims beneficial ownership of such shares. Robert A. Berman is the managing member of BKB, LLC, the general partner of Watertone. /s/ Robert A. Berman 2006-01-20 -----END PRIVACY-ENHANCED MESSAGE-----