Filing Details
- Accession Number:
- 0001209191-14-077652
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2014-12-23 13:39:44
- Reporting Period:
- 2014-03-20
- Filing Date:
- 2014-12-23
- Accepted Time:
- 2014-12-23 13:39:44
- Original Submission Date:
- 2014-03-24
- 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 204 State 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 | 2014-03-20 | 10,000 | $3.33 | 22,500 | No | 4 | M | Direct | |
| Common Stock, $.01 Par Value Per Share | Disposition | 2014-03-20 | 10,000 | $7.65 | 12,500 | 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 | 2014-03-20 | 10,000 | $0.00 | 10,000 | $3.33 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 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 $7.751 to $7.650, 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 shares fully vested on April 23, 2011.
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