|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 2270 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
|||
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BERMAN ROBERT ALAN C/O MONTICELLO RACEWAY ROUTE 17B MONTICELLO, NY 12701 |
 X |  X |  Chief Executive Officer |  |
/s/ Berman, Robert A. | 02/14/2005 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | On June 2, 2004, Watertone Holdings, LP (''Watertone'') made a distribution of 4,483,588 shares of common stock of Empire Resorts, Inc. to its partners, including 3,039,283 shares to Robert A. Berman. |
(2) | These shares of common stock were transferred by Robert A. Berman to Avon Road Partners, LP, with respect to which Mr. Berman is its general partner. |
(3) | These shares of common stock were transferred by the Berman Family Trust to Avon Road Partners, LP, with respect to which Robert Berman is its general partner. |
(4) | These shares of common stock were transferred by Debbie N. Berman to Avon Road Partners, LP, with respect to which Robert A. Berman is its general partner. |
(5) | On June 2, 2004, Watertone made a distribution of 4,483,588 shares of common stock of Empire Resorts, Inc. to its partners, including Avon Road Partners, LP, which, in turn, distributed 101,500 of such shares to the Berman Family Trust. |
(6) | 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. |
(7) | On June 2, 2004, Watertone made a distribution of 4,483,588 shares of common stock of Empire Resorts, Inc. to its partners, including 3,207,141 shares that had previously been attributed to Robert A. Berman. |
(8) | Robert A. Berman is the managing member of BKB, LLC, the general partner of Watertone. |