-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, MJ1jKsKZdtK3EJfK0aoUvdURj11gVn2DHgi/DkruPqhY9kmUVNeL+6bvxR7vBCql CV07NuQPNFgUAAY8Qo7slA== 0000921895-03-000747.txt : 20031024 0000921895-03-000747.hdr.sgml : 20031024 20031024172424 ACCESSION NUMBER: 0000921895-03-000747 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020312 FILED AS OF DATE: 20031024 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BERMAN ROBERT ALAN CENTRAL INDEX KEY: 0001169337 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12522 FILM NUMBER: 03957130 BUSINESS ADDRESS: STREET 1: ALPHA HOSPITALITY CORP STREET 2: 29-76 NORTHERN BLVD CITY: LONG ISLAND CITY STATE: NY ZIP: 11101 BUSINESS PHONE: 7186853014 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: RT 17B STREET 2: P.O. BOX 5013 CITY: MONTICELLO STATE: NY ZIP: 12701 BUSINESS PHONE: (845) 794-4100 MAIL ADDRESS: STREET 1: RT 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 ber35.xml X0201 4 2002-03-12 0 0000906780 EMPIRE RESORTS INC NYNY 0001169337 BERMAN ROBERT ALAN ROUTE 17B MONTICELLO NY 12701 1 1 1 0 Chief Executive Officer Common Stock, $.01 par value per share 2003-10-22 4 M 0 16500 2.12 A 387265.00 D Common Stock, $.01 par value per share 2003-10-22 4 S 0 16500 12.80 D 370765.00 D Common Stock, $.01 par value per share 4090.00 I By Spouse Common Stock, $.01 par value per share 2003-10-23 4 S 0 4090 12.74 D 0.00 I By Spouse Common Stock, $.01 par value per share 12272.00 I By Trust Common Stock, $.01 par value per share 2392857.00 I By Proxy Stock Option (Right to Buy) 2.12 2003-10-22 4 M 0 16500 0 D 2003-01-09 2013-01-09 Common Stock, $.01 par value per share 16500.00 78516.00 D These 4,090 shares of common stock were registered in the name of Debbie N. Berman, Robert A. Berman's wife. Robert A. Berman disclaims beneficial ownership of such shares. Robert A. Berman and Debbie N. Berman are separated and no longer reside in the same household. These shares are held by the Berman Family Trust. Debbie N. Berman and Philip Berman, the brother of Robert A. Berman, are co-trustees for the Berman Family Trust, and have joint power to vote or to direct the vote and joint power to dispose or to direct the disposition of these shares. Robert A. Berman disclaims beneficial ownership of such shares. On December 10, 2002, the reporting person was granted an irrevocable proxy by each of Bryanston Group, Inc. and Beatrice Tollman that provides the reporting person with the exclusive right to vote an aggregate of 2,392,857 shares of common stock of Empire Resorts, Inc. currently held by Bryanston Group, Inc. and Beatrice Tollman. The reporting person disclaims beneficial ownership of these shares for any purpose other than voting. /s/ Berman, Robert A 2003-10-24 -----END PRIVACY-ENHANCED MESSAGE-----