SEC Form 4 · accession 0000899243-17-011514
EMPIRE RESORTS INC · NYNY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Laurette Pitts
Officer — EVP and CFO
Period of report
Apr 28, 2017
Accepted (ET)
May 2, 2017 · 8:54 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, $0.01 par value per share | Apr 28, 2017 | S | 215 | $25.00 | D | 10,785 | D | |
| Common Stock, $0.01 par value per shareF2 | May 1, 2017 | A | 1,000 | $0.00 | A | 11,785 | D | |
| Common Stock, $0.01 par value per share | May 1, 2017 | S | 568 | $25.00 | D | 11,217 | D | |
| Common Stock, $0.01 par value per share | May 2, 2017 | S | 217 | $25.00 | D | 11,000 | 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.
- F2Ms. Pitts was granted 1,000 restricted stock units ("RSUs") under the Empire Resorts, Inc. 2015 Equity Incentive Plan, which RSUs vest annually in three equal installments, with the first installment vesting on May 1, 2018.