SEC Form 4 · accession 0000899243-18-029887
EMPIRE RESORTS INC · NYNY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Emanuel R Pearlman
Officer — Executive Chairman · Director
Period of report
Nov 29, 2018
Accepted (ET)
Nov 30, 2018 · 6:05 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 | Nov 29, 2018 | S | 852 | $13.064 | D | 148,870 | D | |
| Common Stock, $.01 par value per shareF3 | Nov 30, 2018 | S | 550 | $12.5891 | D | 148,320 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2018.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions at prices ranging from $12.77 to $13.47, inclusive. The reporting person undertakes to provide to Empire Resorts, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions at prices ranging from $12.55 to $12.75, inclusive. The reporting person undertakes to provide to Empire Resorts, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.