Home > Insider Trading > Filing (0001209191-14-067076)

Filing Details

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
1315915	R Emanuel Pearlman	350 East 79Th Street New York NY 10075		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	2014-11-04	4,285	$2.79	15,119	No	4	M	Direct
Common Stock, $.01 Par Value Per Share	Disposition	2014-11-04	4,285	$8.01	10,834	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	2014-11-04	4,285	$0.00	4,285	$2.79

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
333,333		2015-11-08	No	4	M	Direct

Footnotes

The exercise of the option and the sale of the underlying shares were effected pursuant to a Rule 10b5-1 trading plan adopted by Mr. Pearlman effective as of November 7, 2013.
The price reported in Column 4 is a weighted average price. These shares were sold in more than one transaction at a price ranging from $8.035 to $8.00, 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.