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