Filing Details
- Accession Number:
- 0001209191-14-042187
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2014-06-17 21:32:13
- Reporting Period:
- 2014-06-05
- Filing Date:
- 2014-06-17
- Accepted Time:
- 2014-06-17 21:32:13
- Original Submission Date:
- 2014-06-09
- 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 |
|---|---|---|---|---|---|---|---|
| 1410543 | James Simon | 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 | 2014-06-05 | 5,000 | $4.71 | 68,863 | No | 4 | M | Direct | |
| Common Stock, $.01 Par Value Per Share | Disposition | 2014-06-05 | 5,000 | $6.65 | 63,863 | 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 | 2014-06-05 | 5,000 | $0.00 | 5,000 | $4.71 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2014-06-06 | No | 4 | M | Direct |
Footnotes
- The exercise of an option held by Mr. Simon and the sale of the underlying shares were effected pursuant to a Rule 10b5-1 trading plan adopted by Mr. Simon effective as of November 12, 2013.
- The option was fully vested as of June 16, 2009.
Billionaire Hedge Funds
