Filing Details
- Accession Number:
- 0000899243-15-007604
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-11-04 18:08:35
- Reporting Period:
- 2015-11-02
- Filing Date:
- 2015-11-04
- Accepted Time:
- 2015-11-04 18:08:35
- 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 204 State 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 | 2015-11-02 | 12,153 | $2.79 | 84,028 | No | 4 | M | Direct | |
| Common Stock, $.01 Par Value Per Share | Disposition | 2015-11-02 | 12,153 | $4.70 | 71,875 | No | 4 | S | Direct | |
| Common Stock, $.01 Par Value Per Share | Acquisiton | 2015-11-03 | 1,180 | $2.79 | 73,055 | No | 4 | M | Direct | |
| Common Stock, $.01 Par Value Per Share | Disposition | 2015-11-03 | 1,180 | $4.70 | 71,875 | No | 4 | S | Direct | |
| Common Stock, $.01 Par Value Per Share | Acquisiton | 2015-11-03 | 15,000 | $0.00 | 86,875 | No | 4 | A | 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 | |
| No | 4 | A | 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 | 2015-11-02 | 12,153 | $0.00 | 12,153 | $2.79 |
| Common Stock, $.01 Par Value Per Share | Option to purchase Common Stock (right to buy) | Disposition | 2015-11-03 | 1,180 | $0.00 | 1,180 | $2.79 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,180 | 2015-11-08 | No | 4 | M | Direct | |
| 0 | 2015-11-08 | 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 price reported in Column 4 is a weighted average price. These shares were sold in more than one transaction at a price ranging from $4.60 to $4.80, 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.
- Restricted stock grant under the 2015 Empire Resorts, Inc. Equity Incentive Plan, which shall vest on January 6, 2017.
- The option was fully vested as of November 9, 2013.
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