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OFFON

EMPIRE RESORTS, INC.

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Empire Resorts : 3

11/05/2019 | 03:25am EDT

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION

OMB APPROVAL

Washington, D.C. 20549

OMB Number:

3235-0104

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF

Estimated average burden

hours per response:

0.5

SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934

or Section 30(h) of the Investment Company Act of 1940

1. Name and Address of Reporting Person *

Genting Berhad

(Last)(First)(Middle)

24TH FLOOR, WISMA GENTING JALAN SULTAN ISMAIL

(Street)

KUALA

N8

50250

LUMPUR

2. Date of Event Requiring Statement (Month/Day/Year)

11/04/2019

3. Issuer Name and Ticker or Trading Symbol

EMPIRE RESORTS INC[ NYNY ]

4. Relationship of Reporting Person(s) to Issuer

5.

If Amendment, Date of Original Filed

(Check all applicable)

(Month/Day/Year)

Director

X 10% Owner

6.

Individual or Joint/Group Filing (Check

Officer (give title

Other (specify

Applicable Line)

below)

below)

Form filed by One Reporting Person

X

Form filed by More than One

Reporting Person

(City)(State) (Zip)

Table I - Non-Derivative Securities Beneficially Owned

1. Title of Security (Instr. 4)

2. Amount of Securities

3. Ownership

4. Nature of Indirect Beneficial Ownership

Beneficially Owned (Instr. 4)

Form: Direct (D)

(Instr. 5)

or Indirect (I)

(Instr. 5)

Common Stock

13,200,000

I

See Explanation of Responses(1)(2)(3)(4)

Table II - Derivative Securities Beneficially Owned

(e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security (Instr. 4)

2. Date Exercisable and

3. Title and Amount of Securities

4.

5.

6. Nature of Indirect

Expiration Date

Underlying Derivative Security (Instr. 4)

Conversion

Ownership

Beneficial Ownership

(Month/Day/Year)

or Exercise

Form:

(Instr. 5)

Price of

Direct (D)

Amount

Derivative

or Indirect

or

Security

(I) (Instr. 5)

Number

Date

Expiration

of

Exercisable

Date

Title

Shares

1. Name and Address of Reporting Person *

Genting Berhad

(Last)

(First)

(Middle)

24TH FLOOR, WISMA GENTING

JALAN SULTAN ISMAIL

(Street)

KUALA LUMPUR N8

50250

(City)

(State)

(Zip)

1. Name and Address of Reporting Person *

Genting Malaysia Berhad

(Last)

(First)

(Middle)

GENTING HIGHLANDS RESORT

GENTING HIGHLANDS

(Street)

PAHANG DARUL

N8

69000

MAKMUR

(City)

(State)

(Zip)

1. Name and Address of Reporting Person *

Genting (USA) Ltd

(Last)(First)(Middle)

FIRST NAMES HOUSE

VICTORIA ROAD

(Street)

DOUGLAS

Y8

IM2 4DF

(City)

(State)

(Zip)

Explanation of Responses:

  1. 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 Genting (USA) Limited ("Gen USA"), Gen USA bought 13,200,000 shares of Common Stock, par value $0.01 per share, of the Issuer ("Common Stock") from Kien Huat.
  2. 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.
  3. 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. Lim Kok Thay and Kien Huat filed separately from the Reporting Persons.
  4. Each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.

Remarks:

(5) The Reporting Persons are jointly filing this Form 3 pursuant to Rule 16a-3(j) under the Exchange Act.

/s/ Loh Bee Hong, Secretary,

Genting Berhad (5)

/s/ Ms. Koh Poy Yong, Chief

Financial Officer, Genting Malaysia Berhad (5)

/s/ Ms. Koh Poy Yong, Chief

Financial Officer, Genting (USA) Limited (5)

** Signature of Reporting Person

11/04/2019

11/04/2019

11/04/2019

Date

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 5 (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). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
    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 Number.

Disclaimer

Empire Resorts Inc. published this content on 04 November 2019 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 05 November 2019 08:24:09 UTC


© Publicnow 2019
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NameTitle
Ryan Eller President & Chief Executive Officer
Emanuel R. Pearlman Executive Chairman
Nanette L. Horner Secretary, EVP, Chief Compliance & Counsel Officer
Gerard Ewe Keng Lim Non-Executive Director
Keith L. Horn Director
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