0001209191-14-042187.txt : 20140624 0001209191-14-042187.hdr.sgml : 20140624 20140617213213 ACCESSION NUMBER: 0001209191-14-042187 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140605 FILED AS OF DATE: 20140617 DATE AS OF CHANGE: 20140617 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: SIMON JAMES CENTRAL INDEX KEY: 0001410543 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-12522 FILM NUMBER: 14926604 MAIL ADDRESS: STREET 1: 701 N. GREEN VALLEY PARKWAY STREET 2: SUITE 200 CITY: HENDERSON STATE: NV ZIP: 89074 4/A 1 doc4a.xml FORM 4/A SUBMISSION X0306 4/A 2014-06-05 2014-06-09 0 0000906780 EMPIRE RESORTS INC NYNY 0001410543 SIMON JAMES C/O MONTICELLO CASINO AND RACEWAY ROUTE 17B, P.O. BOX 5013 MONTICELLO NY 12701 1 0 0 0 Common Stock, $.01 par value per share 2014-06-05 4 M 0 5000 4.71 A 68863 D Common Stock, $.01 par value per share 2014-06-05 4 S 0 5000 6.65 D 63863 D Option to purchase Common Stock (right to buy) 4.71 2014-06-05 4 M 0 5000 0.00 D 2014-06-06 Common Stock, $.01 par value per share 5000 0 D The exercise of an option held by Mr. Simon and the sale of the underlying shares were effected pursuant to a Rule 10b5-1 trading plan adopted by Mr. Simon effective as of November 12, 2013. The option was fully vested as of June 16, 2009. /s/ Nanette L. Horner, By, Nanette L. Horner, by Power of Attorney 2014-06-17