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