EMPIRE RESORTS INC Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 7 rows, 7 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-10-30: Reporting owner Lim Kok Thay | Kien Huat Realty III Ltd; Form 4; Security Series F Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2019-09-23: Reporting owner Lim Kok Thay | Kien Huat Realty III Ltd; Form 4; Security Series F Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2019-08-26: Reporting owner Kien Huat Realty III Ltd | Lim Kok Thay; Form 4; Security Series F Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2019-06-17: Reporting owner Kien Huat Realty III Ltd | Lim Kok Thay; Form 4; Security Series F Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-10-30 | Lim Kok Thay | Kien Huat Realty III Ltd 10% Owner | 10% Owner | 4 | Series F Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +75 1,040 owned after | $100,000.00 | 2019-10-30 | |
| 2019-09-23 | Lim Kok Thay | Kien Huat Realty III Ltd 10% Owner | 10% Owner | 4 | Series F Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +75 965 owned after | $100,000.00 | 2019-09-23 | |
| 2019-08-26 | Kien Huat Realty III Ltd | Lim Kok Thay 10% Owner | 10% Owner | 4 | Series F Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +150 890 owned after | $100,000.00 | 2019-08-26 | |
| 2019-06-17 | Kien Huat Realty III Ltd | Lim Kok Thay 10% Owner | 10% Owner | 4 | Series F Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +150 740 owned after | $100,000.00 | 2019-06-18 | |
| 2019-05-21 | Kien Huat Realty III Ltd | Lim Kok Thay 10% Owner | 10% Owner | 4 | Series F Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +270 590 owned after | $100,000.00 | 2019-05-23 | |
| 2019-02-20 | Lim Kok Thay | Kien Huat Realty III Ltd 10% Owner | 10% Owner | 4 | Series F Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +200 320 owned after | $100,000.00 | 2019-02-21 | |
| 2018-11-13 | Kien Huat Realty III Ltd | Lim Kok Thay 10% Owner | 10% Owner | 4 | Series F Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +120 120 owned after | $100,000.00 | 2018-11-13 |