Filing Details
- Accession Number:
- 0001181431-13-057906
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-08 16:53:44
- Reporting Period:
- 2013-11-06
- Filing Date:
- 2013-11-08
- Accepted Time:
- 2013-11-08 16:53:44
- 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 |
---|---|---|---|---|---|---|---|
1428788 | Charles Degliomini | C/O Monticello Casino And Raceway Route 17B, P.o. Box 5013 Monticello NY 12701 | Evp | No | 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 | 2013-11-06 | 90,000 | $3.33 | 96,666 | No | 4 | M | Direct | |
Common Stock, $.01 Par Value Per Share | Disposition | 2013-11-06 | 96,666 | $6.88 | 0 | 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 | Employee Stock Option (right to buy) | Disposition | 2013-11-06 | 90,000 | $0.00 | 90,000 | $3.33 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
10,000 | 2014-04-22 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock, $.01 Par Value Per Share | 923 | Indirect | By Fox-Hollow Lane, LLC |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in more than one transaction at price ranging from $7.461 to $6.356, 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.
- Mr. Degliomini is a managing member of Fox-Hollow Lane, LLC. He disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
- The option vested as to one-third on April 23, 2009. An additional one-third of the options vested on April 23, 2010. The remaining one-third of the options vested on April 23, 2011.