SEC Form 4/A · accession 0000899243-17-001008
EMPIRE RESORTS INC · NYNY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Laurette Pitts
Officer — EVP, COO, CFO
Period of report
Jan 3, 2017
Accepted (ET)
Jan 10, 2017 · 5:17 pm 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $.01 par value per shareF2,F3 | Jan 3, 2017 | S | 1,646 | $22.76 | D | 12,045 | D | |
| Common Stock, $.01 par value per shareF3 | Jan 4, 2017 | S | 45 | $23.00 | D | 12,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the reporting person effective as of December 13, 2016.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.50 to $23.00, inclusive. The reporting person undertakes to provide to Empire Resorts, Inc., any security holder of Empire Resorts, Inc., 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.
- F3On January 5, 2017, the reporting person filed a Form 4 mistakenly reporting that she owned 11,995 and 11,950 shares of common stock after taking into account the transactions occurring on January 3, 2017 and January 4, 2017, respectively.