0001209191-14-022562.txt : 20140324
0001209191-14-022562.hdr.sgml : 20140324
20140324060020
ACCESSION NUMBER: 0001209191-14-022562
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140319
FILED AS OF DATE: 20140324
DATE AS OF CHANGE: 20140324
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: PEARLMAN EMANUEL R
CENTRAL INDEX KEY: 0001315915
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-12522
FILM NUMBER: 14711724
MAIL ADDRESS:
STREET 1: 250 EAST 79TH STREET
CITY: NEW YORK
STATE: NY
ZIP: 10075
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2014-03-19
0
0000906780
EMPIRE RESORTS INC
NYNY
0001315915
PEARLMAN EMANUEL R
350 EAST 79TH STREET
NEW YORK
NY
10075
1
0
0
0
Common Stock, $.01 par value per share
2014-03-19
4
M
0
8191
2.79
A
9025
D
Common Stock, $.01 par value per share
2014-03-19
4
S
0
8191
8.0117
D
834
D
Option to purchase Common Stock (right to buy)
2.79
2014-03-19
4
M
0
8191
0.00
D
2015-11-08
Common Stock, $.01 par value per share
8191
337642
D
The sale of shares of stock and the exercise of the option and the sale of the underlying shares were effected pursuant to a Rule 10b5-1 trading plan adopted by Mr. Pearlman effective as of November 7, 2013.
The price reported in column 4 is a weighted average price. These shares were sold in more than one transaction at a price ranging from $8.05 to $8.00, 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
2014-03-21