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:
- 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.
- 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.
- 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.
- 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.
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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