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Filing Details

Accession Number:: 0001209191-14-015437
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-02-28 19:05:51
Reporting Period:: 2014-02-26

Filing Date:: 2014-02-28
Accepted Time:: 2014-02-28 19:05:51
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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock, $.01 Par Value Per Share	Acquisiton	2014-02-26	5,464	$2.79	34,017	No	4	M	Direct
Common Stock, $.01 Par Value Per Share	Disposition	2014-02-26	5,464	$7.50	28,553	No	4	S	Direct
Common Stock, $.01 Par Value Per Share	Acquisiton	2014-02-27	1,536	$2.79	30,089	No	4	M	Direct
Common Stock, $.01 Par Value Per Share	Disposition	2014-02-27	1,536	$7.50	28,553	No	4	S	Direct
Common Stock, $.01 Par Value Per Share	Acquisiton	2014-02-28	2,434	$2.79	30,987	No	4	M	Direct
Common Stock, $.01 Par Value Per Share	Disposition	2014-02-28	2,434	$7.75	28,553	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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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	2014-02-26	5,464	$0.00	5,464	$2.79
Common Stock, $.01 Par Value Per Share	Option to purchase Common Stock (right to buy)	Disposition	2014-02-27	1,536	$0.00	1,536	$2.79
Common Stock, $.01 Par Value Per Share	Option to purchase Common Stock (right to buy)	Disposition	2014-02-28	2,434	$0.00	2,434	$2.79

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
97,537	2015-11-08	No	4	M	Direct
96,001	2015-11-08	No	4	M	Direct
93,567	2015-11-08	No	4	M	Direct

Footnotes

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.
The price reported in Column 4 is a weighted average price. These shares were sold in more than one transaction at price ranging from $7.50 to $7.52, 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.
The price reported in Column 4 is a weighted average price. These shares were sold in more than one transaction at price ranging from $7.25 to $7.32, 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.
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 $7.76, 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.
The option was fully vested as of November 9, 2013.