0000899243-19-001837.txt : 20190123 0000899243-19-001837.hdr.sgml : 20190123 20190123215538 ACCESSION NUMBER: 0000899243-19-001837 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190120 FILED AS OF DATE: 20190123 DATE AS OF CHANGE: 20190123 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kline Kevin D CENTRAL INDEX KEY: 0001725099 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12522 FILM NUMBER: 19538542 MAIL ADDRESS: STREET 1: C/O MONTICELLO CASINO AND RACEWAY STREET 2: 204 STATE ROUTE 17B P.O. BOX 5013 CITY: MONTICELLO STATE: NY ZIP: 12701 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: EMPIRE RESORTS INC CENTRAL INDEX KEY: 0000906780 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING & DRINKING PLACES [5810] IRS NUMBER: 133714474 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 204 STATE ROUTE 17B STREET 2: P.O. BOX 5013 CITY: MONTICELLO STATE: NY ZIP: 12701 BUSINESS PHONE: (845) 807-0001 MAIL ADDRESS: STREET 1: 204 STATE ROUTE 17B STREET 2: P.O. BOX 5013 CITY: MONTICELLO STATE: NY ZIP: 12701 FORMER COMPANY: FORMER CONFORMED NAME: ALPHA HOSPITALITY CORP DATE OF NAME CHANGE: 19930614 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-01-20 0 0000906780 EMPIRE RESORTS INC NYNY 0001725099 Kline Kevin D C/O MONTICELLO CASINO AND RACEWAY ROUTE 17B, P.O. BOX 5013 MONTICELLO NY 12701 0 1 0 0 See Remarks Common Stock, par value $.01 per share 2019-01-20 4 M 0 15000 0.00 A 25000 D Restricted Stock Units 2019-01-20 4 A 0 30000 0.00 A Common Stock, par value $.01 per share 30000 30000 D Restricted Stock Units 2019-01-20 4 M 0 15000 0.00 D Common Stock, par value $.01 per share 15000 15000 D Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Empire Resorts, Inc. (the "Company"). The Company may also elect to settle the vested RSUs for cash at its discretion. Mr. Kline was granted 30,000 RSUs under the Empire Resorts, Inc. 2015 Equity Incentive Plan, as amended (the "Plan"), 15,000 of which RSUs vested immediately on the date of grant and 15,000 of which shall vest on March 19, 2020; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Mr. Kline's continued employment with the Company, the shares of common stock deliverable upon vesting of the RSUs shall be delivered on March 19, 2020. All capitalized but undefined terms have the meanings ascribed thereto by the Plan. Chief Operating Officer and General Manager of Montreign Operating Company, LLC, an indirect, wholly-owned subsidiary of Empire Resorts, Inc. /s/ Kevin D. Kline 2019-01-23