EMPIRE RESORTS INC Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 10 rows, 10 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-02-17: Reporting owner Kien Huat Realty III Ltd | Lim Kok Thay; Form 4; Security Subscription; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2016-01-14: Reporting owner Kien Huat Realty III Ltd | Lim Kok Thay; Form 4; Security Subscription Rights (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2015-02-06: Reporting owner Kien Huat Realty III Ltd | Lim Kok Thay; Form 4; Security Subscription Rights (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2015-01-15: Reporting owner Lim Kok Thay | Kien Huat Realty III Ltd; Form 4; Security Subscription Rights (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-02-17 | Kien Huat Realty III Ltd | Lim Kok Thay 10% Owner | 10% Owner | 4 | Subscription Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −17,879,469 0 owned after | $14.40 exercise price | 2016-02-18 | |
| 2016-01-14 | Kien Huat Realty III Ltd | Lim Kok Thay 10% Owner | 10% Owner | 4 | Subscription Rights (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −2,083,333 11,053,484 owned after | $14.40 exercise price | 2016-01-20 | |
| 2015-02-06 | Kien Huat Realty III Ltd | Lim Kok Thay 10% Owner | 10% Owner | 4 | Subscription Rights (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −2,667,165 0 owned after | $7.10 exercise price | 2015-02-09 | |
| 2015-01-15 | Lim Kok Thay | Kien Huat Realty III Ltd 10% Owner | 10% Owner | 4 | Subscription Rights (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −4,321,798 0 owned after | $7.10 exercise price | 2015-01-16 | |
| 2014-04-28 | Lim Kok Thay | Kien Huat Realty III Ltd 10% Owner | 10% Owner | 4 | Subscription Rights (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,512,629 0 owned after | $6.25 exercise price | 2014-04-28 | |
| 2013-06-04 | D AMATO JOSEPH A Director, Officer (Chief Executive Officer) | 4 | Subscription Rights (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −418 0 owned after | $1.89 exercise price | 2013-06-05 | |
| 2013-06-04 | SIMON JAMES Director | 4 | Subscription Rights (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −10,664 0 owned after | $1.89 exercise price | 2013-06-05 | |
| 2013-05-10 | Kien Huat Realty III Ltd | Lim Kok Thay 10% Owner | Director | 4 | Subscription Rights (right tobuy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −3,650,849 0 owned after | $1.89 exercise price | 2013-05-10 | |
| 2011-05-20 | D AMATO JOSEPH A Director, Officer (Chief Executive Officer) | 4 | Subscription Rights (right to buy) Derivative · Direct | O Exercise of out-of-the-money derivative security | −2,000 0 owned after | $0.88 exercise price | 2011-05-23 | |
| 2011-05-18 | Kien Huat Realty III Ltd | Lim Kok Thay 10% Owner | 10% Owner | 4 | Subscription Rights (right tobuy) Derivative · Direct | O Exercise of out-of-the-money derivative security | −19,826,382 0 owned after | $0.89 exercise price | 2011-05-20 |