0001209191-14-015437.txt : 20140228 0001209191-14-015437.hdr.sgml : 20140228 20140228190551 ACCESSION NUMBER: 0001209191-14-015437 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140226 FILED AS OF DATE: 20140228 DATE AS OF CHANGE: 20140228 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: 14657623 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 2014-02-26 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 2014-02-26 4 M 0 5464 2.79 A 34017 D Common Stock, $.01 par value per share 2014-02-26 4 S 0 5464 7.5048 D 28553 D Common Stock, $.01 par value per share 2014-02-27 4 M 0 1536 2.79 A 30089 D Common Stock, $.01 par value per share 2014-02-27 4 S 0 1536 7.5046 D 28553 D Common Stock, $.01 par value per share 2014-02-28 4 M 0 2434 2.79 A 30987 D Common Stock, $.01 par value per share 2014-02-28 4 S 0 2434 7.7537 D 28553 D Option to purchase Common Stock (right to buy) 2.79 2014-02-26 4 M 0 5464 0.00 D 2015-11-08 Common Stock, $.01 par value per share 5464 97537 D Option to purchase Common Stock (right to buy) 2.79 2014-02-27 4 M 0 1536 0.00 D 2015-11-08 Common Stock, $.01 par value per share 1536 96001 D Option to purchase Common Stock (right to buy) 2.79 2014-02-28 4 M 0 2434 0.00 D 2015-11-08 Common Stock, $.01 par value per share 2434 93567 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 $7.50 to $7.52, 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 $7.32, 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 $7.75 to $7.76, 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. /s/ Nanette L. Horner, By Power of Attorney 2014-02-28