SEC Form 4 · accession 0000899243-15-008480

EMPIRE RESORTS INC · NYNY

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owner

Director

Period of report

Nov 18, 2015

Accepted (ET)

Nov 19, 2015 · 10:23 am EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000906780

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Common Stock, $.01 par value per share^F1	Nov 18, 2015	M	5,000	$3.03	A	63,334	D
Common Stock, $.01 par value per share^F1	Nov 18, 2015	D	3,616	$4.19	D	59,718	D
Common Stock, $.01 par value per share^F2	Nov 18, 2015	M	3,333	$2.97	A	63,051	D
Common Stock, $.01 par value per share^F2	Nov 18, 2015	D	2,219	$4.19	D	60,832	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (right to buy)^F3	$3.03	Nov 18, 2015	M	5,000	A	—	Dec 27, 2015	Common Stock, $.01 par value per share	5,000	0	D
Stock Option (right to buy)^F4	$2.97	Nov 18, 2015	M	3,333	A	—	Jan 2, 2016	Common Stock, $.01 par value per share	3,333	0	D

F1The exercise of the option was net settled with the Company and 3,616 shares were withheld to pay the applicable exercise price pursuant to Section 16b-3(e) under the Securities Exchange Act of 1934.
F2The exercise of the option was net settled with the Company and 2,219 shares were withheld to pay the applicable exercise price pursuant to Section 16b-3(e) under the Securities Exchange Act of 1934.
F3The option was fully vested and exercisable as of December 28, 2010.
F4The option was fully vested and exercisable as of October 3, 2011.