SEC Form 4 · accession 0000899243-16-026192
EMPIRE RESORTS INC · NYNY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Amato Joseph A D
Officer — Chief Executive Officer · Director
Period of report
Aug 2, 2016
Accepted (ET)
Aug 3, 2016 · 2:13 pm EDT
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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $.01 par value per shareF1 | Aug 2, 2016 | A | 12,500 | $0.00 | A | 47,118 | D | |
| Common Stock, $.01 par value per shareF2 | Aug 2, 2016 | F | 2,311 | $16.40 | D | 44,807 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted stock grant under the 2015 Empire Resorts, Inc. Equity Incentive Plan, of which 6,250 shares of common stock vested immediately on August 2, 2016 (the "Initial Vesting") and of which 6,250 shares of common stock will vest August 2, 2018.
- F22,311 shares of common stock were withheld to satisfy the tax obligation relating to the Initial Vesting pursuant to Section 16b-3(e) under the Securities Exchange Act of 1934.