0001387131-19-008293.txt : 20191104
0001387131-19-008293.hdr.sgml : 20191104
20191104170436
ACCESSION NUMBER: 0001387131-19-008293
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191104
FILED AS OF DATE: 20191104
DATE AS OF CHANGE: 20191104
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Lim Kok Thay
CENTRAL INDEX KEY: 0001470308
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-12522
FILM NUMBER: 191190644
MAIL ADDRESS:
STREET 1: 22ND FLOOR, WISMA GENTING
STREET 2: JALAN SULTAN ISMAIL
CITY: KUALA LUMPUR
STATE: N8
ZIP: 50250
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Kien Huat Realty III Ltd
CENTRAL INDEX KEY: 0001470324
STATE OF INCORPORATION: XX
FISCAL YEAR END: 1209
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-12522
FILM NUMBER: 191190645
BUSINESS ADDRESS:
STREET 1: 21ST FLOOR, WISMA GENTING
STREET 2: JALAN SULTAN ISMAIL
CITY: KUALA LUMPUR
STATE: N8
ZIP: 50250
BUSINESS PHONE: 603-2333-6839
MAIL ADDRESS:
STREET 1: 21ST FLOOR, WISMA GENTING
STREET 2: JALAN SULTAN ISMAIL
CITY: KUALA LUMPUR
STATE: N8
ZIP: 50250
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
nyny-form4_110419.xml
OWNERSHIP DOCUMENT
X0306
4
2019-11-04
0
0000906780
EMPIRE RESORTS INC
NYNY
0001470324
Kien Huat Realty III Ltd
21ST FLOOR, WISMA GENTING
JALAN SULTAN ISMAIL
KUALA LUMPUR
N8
50250
MALAYSIA
0
0
1
0
0001470308
Lim Kok Thay
21ST FLOOR, WISMA GENTING
JALAN SULTAN ISMAIL
KUALA LUMPUR MALAYSIA
N8
50250
MALAYSIA
0
0
1
0
Common Stock
2019-11-04
4
S
0
13200000
9.74
D
13200000
I
See Explanation of Responses
Common Stock
15714606
I
See Explanation of Responses
Pursuant to an executed binding term sheet (the "Term Sheet"), dated as of August 5, 2019, by and among Kien Huat Realty III Limited ("Kien Huat"), Genting Malaysia Berhad ("GenM") and Gen (USA) Limited ("Gen USA"), Kien Huat sold 13,200,000 shares of common stock, par value $0.01 per share, of the Issuer ("Common Stock") to Gen USA.
Lim Kok Thay may be deemed to indirectly control Genting Berhad, which may be deemed to control GenM, which controls its indirect, wholly-owned subsidiary, Gen USA. Kien Huat is indirectly controlled by Lim Kok Thay through two irrevocable private trusts: Golden Hope Unit Trust, a private unit trust held directly and indirectly by a discretionary trust established solely for the benefit of Lim Kok Thay and certain other members of his family (the "KH Discretionary Trust"). Lim Kok Thay may cause the removal of the trustee of each trust at any time in his sole discretion.
Genting Berhad may be deemed to be indirectly controlled by Lim Kok Thay through a discretionary trust of which Parkview Management Sdn Bhd is the trustee, which owns 100% of voting shares of Kien Huat International Limited, which, in turn, owns 100% of the voting shares in Kien Huat Realty Sdn Berhad ("KHR"), which, in turn owns 100% of the voting shares of Inverway Sdn Bhd ("Inverway"). KHR and Inverway own ordinary shares in Genting Berhad. Genting Berhad, Gen M, and Gen USA filed separately from the Reporting Persons.
Because of the relationship between Lim Kok Thay and Gen USA, Lim Kok Thay may be deemed to beneficially own the securities reported herein to the extent of his respective direct or indirect pecuniary interests in Gen USA. Lim Kok Thay disclaims beneficial ownership of the securities reported herein, except to the extent of his pecuniary interest therein, if any.
Kien Huat and Lim Kok Thay beneficially own directly 15,714,606 shares of Common Stock. Gen USA beneficially owns directly 13,200,000 shares of Common Stock.
(6) Yap Chong Chew is signing on behalf of Kien Huat Realty III Limited and Lim Kok Thay pursuant to the letters of authorization dated July 25, 2019, which were previously filed with the Securities and Exchange Commission.
/s/ Yap Chong Chew for Kien Huat Realty III Limited (6)
2019-11-04
/s/ Yap Chong Chew for Lim Kok Thay (6)
2019-11-04