SEC Form 4 · accession 0000899243-17-001009
EMPIRE RESORTS INC · NYNY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Laurette Pitts
Officer — EVP, COO, CFO
Period of report
Jan 6, 2017
Accepted (ET)
Jan 10, 2017 · 5:18 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 | Jan 6, 2017 | S | 974 | $23.62 | D | 11,026 | 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 $23.25 to $24.00, 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.