0001209191-14-011556.txt : 20140218
0001209191-14-011556.hdr.sgml : 20140217
20140218210433
ACCESSION NUMBER: 0001209191-14-011556
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140213
FILED AS OF DATE: 20140218
DATE AS OF CHANGE: 20140218
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: D AMATO JOSEPH A
CENTRAL INDEX KEY: 0001472400
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-12522
FILM NUMBER: 14623803
MAIL ADDRESS:
STREET 1: C/O MONTICELLO CASINO AND RACEWAY
STREET 2: ROUTE 17B, PO BOX 5013
CITY: MONTICELLO
STATE: NY
ZIP: 12701
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2014-02-13
0
0000906780
EMPIRE RESORTS INC
NYNY
0001472400
D AMATO JOSEPH A
C/O MONTICELLO CASINO AND RACEWAY
ROUTE 17B, P.O. BOX 5013
MONTICELLO
NY
12701
1
1
0
0
Chief Executive Officer
Common Stock, $.01 par value per share
2014-02-13
4
M
0
21333
2.79
A
49886
D
Common Stock, $.01 par value per share
2014-02-13
4
S
0
21333
7.0247
D
28553
D
Common Stock, $.01 par value per share
2014-02-14
4
M
0
4633
2.79
A
33186
D
Common Stock, $.01 par value per share
2014-02-14
4
S
0
4633
7.2506
D
28553
D
Common Stock, $.01 par value per share
2014-02-18
4
M
0
1600
2.79
A
30153
D
Common Stock, $.01 par value per share
2014-02-18
4
S
0
1600
7.2506
D
28553
D
Option to purchase Common Stock (right to buy)
2.79
2014-02-13
4
M
0
21333
0.00
D
2015-11-08
Common Stock, $.01 par value per share
21333
0
D
Option to purchase Common Stock (right to buy)
2.79
2014-02-14
4
M
0
4633
0.00
D
2015-11-08
Common Stock, $.01 par value per share
4633
0
D
Option to purchase Common Stock (right to buy)
2.79
2014-02-18
4
M
0
1600
0.00
D
2015-11-08
Common Stock, $.01 par value per share
1600
0
D
The exercise of options held by Mr. D'Amato and the sale of the underlying shares were effected pursuant to a Rule 10b5-1 trading plan adopted by Mr. D'Amato effective as of December 16, 2013.
The price reported in Column 4 is a weighted average price. These shares were sold in more than one transaction at price ranging from $7.00 to $7.08, inclusive. The reporting person undertakes to provide to Empire Resorts, Inc., any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were sold in more than one transaction at price ranging from $7.25 to $7.27, inclusive. The reporting person undertakes to provide to Empire Resorts, Inc., any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were sold in more than one transaction at price ranging from $7.25 to $7.26, inclusive. The reporting person undertakes to provide to Empire Resorts, Inc., any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The option was fully vested as of November 9, 2013.
The option was fully vested as of November 9, 2013.
The option was fully vested as of November 9, 2013.
/s/ Joseph A. D'Amato
2014-02-18