Filing Details

Accession Number:
0001209191-14-076818
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-12-18 19:38:10
Reporting Period:
2014-12-17
Filing Date:
2014-12-18
Accepted Time:
2014-12-18 19:38:10
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
1465374 Nancy Palumbo C/O Monticello Casino And Raceway
204 State Route 17B, P.o. Box 5013
Monticello NY 12701
Yes No 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 2014-12-17 5,000 $2.79 51,668 No 4 M Direct
Common Stock, $.01 Par Value Per Share Disposition 2014-12-17 5,000 $8.95 46,668 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 2014-12-17 5,000 $0.00 5,000 $2.79
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
8,333 2015-11-08 No 4 M Direct
Footnotes
  1. The exercise of options held by Ms. Palumbo and the sale of the underlying shares were effected pursuant to a Rule 10b5-1 trading plan adopted by Ms. Palumbo effective as of December 13, 2013.
  2. The option was fully vested as of November 9, 2013.