Filing Details

Accession Number:
0001209191-14-017581
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-03-05 18:15:04
Reporting Period:
2014-03-03
Filing Date:
2014-03-05
Accepted Time:
2014-03-05 18:15:04
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
906780 Empire Resorts Inc NYNY Retail-Eating & Drinking Places (5810) 133714474
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1472400 A Joseph Amato D C/O Monticello Casino And Raceway
Route 17B, P.o. Box 5013
Monticello NY 12701
Chief Executive Officer Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, $.01 Par Value Per Share Acquisiton 2014-03-03 18,900 $2.79 47,453 No 4 M Direct
Common Stock, $.01 Par Value Per Share Disposition 2014-03-03 18,900 $7.77 28,553 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock, $.01 Par Value Per Share Option to purchase Common Stock (right to buy) Disposition 2014-03-03 18,900 $0.00 18,900 $2.79
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
78,637 2015-11-08 No 4 M Direct
Footnotes
  1. 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.
  2. 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 $7.82, 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.
  3. The option was fully vested as of November 9, 2013.