-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, OSTarla8PiYJAvvpQKGqwRCtsFl6DGZXMYhC93oaPTORYou1YK1nHmG8BeYh3lLD HmGjEMTfm0INPVM89XrsBA== 0001434318-10-000001.txt : 20100106 0001434318-10-000001.hdr.sgml : 20100106 20100106175356 ACCESSION NUMBER: 0001434318-10-000001 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100106 DATE AS OF CHANGE: 20100106 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: RT 17B STREET 2: P.O. BOX 5013 CITY: MONTICELLO STATE: NY ZIP: 12701 BUSINESS PHONE: (845) 807-0001 MAIL ADDRESS: STREET 1: RT 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: BERNSTEIN JOSEPH E CENTRAL INDEX KEY: 0001258946 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12522 FILM NUMBER: 10512821 MAIL ADDRESS: STREET 1: EMPIRE RESORTS INC STREET 2: PO BOX 5013 CITY: MONTICELLO STATE: NY ZIP: 12701 5 1 edgar.xml PRIMARY DOCUMENT X0303 5 2009-12-31 1 0 0 0000906780 EMPIRE RESORTS INC NYNY 0001258946 BERNSTEIN JOSEPH E 6663 CASA GRANDE WAY DELRAY BEACH FL 33446 0 1 0 0 CEO Common Stock, $.01 par value per share 2009-12-30 5 G 0 60000 0 D 1272229 D Common Stock, $.01 par value per share 52500 I By Immediate Family Common Stock, $.01 par value per share 1500 I By Limited Liability Company Stock Option (Right to Buy) 1.14 2009-06-16 2014-04-26 Common Stock, $.01 par value per share 250000 250000 D Stock Option (Right to Buy) 1.78 2009-12-31 2014-06-07 Common Stock, $.01 par value per share 500000 500000 D Stock Option (Right to Buy) 1.14 2014-04-26 Common Stock, $.01 par value per share 250000 250000 D Stock Option (Right to Buy 1.78 2019-06-07 Common Stock, $.01 par value per share 1000000 1000000 D On December 30, 2009, Mr. Bernstein made a gift of 60,000 shares of the Company to his six children: 50,000 of these shares are held by Mr. Bernstein's wife, Nora Bernstein, as custodian for Mr. Bernstein's children and 10,000 are held by an emancipated adult child of Mr. Bernstein. Mr. Bernstein disclaims beneficial ownership of these shares. These shares are held by Mr. Bernstein's wife, Nora Bernstein, as custodian for Mr. Bernstein's children, including the gift of 50,000 shares referenced in footnote 1 above. These shares are held by Bernstarz LLC. Mr. Bernstein is the sole member of and holds 100% of the membership interests of Bernstarz LLC. The Company has disputed the vesting of these options and Mr. Bernstein subsequently filed notice of his claims against the Company on December 31, 2009. /s/ Joseph E. Bernstein 2010-01-06 -----END PRIVACY-ENHANCED MESSAGE-----