Filing Details
- Accession Number:
- 0001209191-14-011555
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-02-18 20:59:41
- Reporting Period:
- 2014-02-13
- Filing Date:
- 2014-02-18
- Accepted Time:
- 2014-02-18 20:59:41
- 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 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 | 2014-02-13 | 5,000 | $5.07 | 41,667 | No | 4 | M | Direct | |
| Common Stock, $.01 Par Value Per Share | Disposition | 2014-02-13 | 5,000 | $7.07 | 36,667 | No | 4 | S | Direct | |
| Common Stock, $.01 Par Value Per Share | Acquisiton | 2014-02-13 | 4,861 | $5.07 | 41,528 | No | 4 | M | Direct | |
| Common Stock, $.01 Par Value Per Share | Disposition | 2014-02-13 | 4,861 | $7.07 | 36,667 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| 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) | Acquisiton | 2014-02-13 | 5,000 | $0.00 | 5,000 | $5.07 |
| Common Stock, $.01 Par Value Per Share | Option to purchase Common Stock (right to buy) | Acquisiton | 2014-02-13 | 4,861 | $0.00 | 4,861 | $5.07 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2009-06-01 | 2014-05-31 | No | 4 | M | Direct |
| 0 | 2014-05-31 | No | 4 | M | Direct |
Footnotes
- 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.
- The option was fully vested as of October 15, 2009.
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