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 <P STYLE="line-height:1.0pt;margin-top:0pt;margin-bottom:0pt;border-bottom:1px solid #000000">&nbsp;</P>
<P STYLE="line-height:3.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1px solid #000000">&nbsp;</P> <P STYLE="margin-top:4pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>UNITED STATES </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>SECURITIES AND EXCHANGE COMMISSION </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Washington, D.C. 20549 </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>FORM <FONT
STYLE="white-space:nowrap">8-K</FONT> </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>CURRENT
REPORT </B></P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Pursuant to Section&nbsp;13 or Section&nbsp;15(d) </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>of the Securities Exchange Act of 1934 </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Date of Report (Date of earliest event reported): January&nbsp;1, 2019 </B></P>
<P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center> <P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:24pt; font-family:Times New Roman" ALIGN="center"><B><U>EMPIRE RESORTS, INC.</U> </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>(Exact name of registrant as specified in its charter) </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="top" ALIGN="center"><B>Delaware</B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B><FONT STYLE="white-space:nowrap">001-12522</FONT></B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B><FONT STYLE="white-space:nowrap">13-3714474</FONT></B></TD></TR>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(State or other jurisdiction</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>of incorporation)</B></P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Commission</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>File Number)</B></P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(IRS Employer</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Identification No.)</B></P></TD></TR>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>c/o Monticello Casino and Raceway, State Route 17B,</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>P.O. Box 5013, Monticello, NY</B></P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center"><B>12701</B></TD></TR>
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<TD VALIGN="top" ALIGN="center"><B>(Address of principal executive offices)</B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B>(Zip Code)</B></TD></TR>
</TABLE> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Registrant&#146;s telephone number, including area code: (845)
<FONT STYLE="white-space:nowrap">807-0001</FONT> </B></P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Not Applicable </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Former name or former address, if changed since last report) </B></P>
<P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center> <P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Check the appropriate box below if the <FONT STYLE="white-space:nowrap">Form&nbsp;8-K</FONT> filing is intended to simultaneously satisfy the
filing obligation to the registrant under any of the following provisions: </P> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%" VALIGN="top" ALIGN="left">&#9744;</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Written communications pursuant to Rule&nbsp;425 under the Securities Act (17&nbsp;CFR&nbsp;230.425)
</P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TR style = "page-break-inside:avoid">
<TD WIDTH="4%" VALIGN="top" ALIGN="left">&#9744;</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Soliciting material pursuant to <FONT STYLE="white-space:nowrap">Rule&nbsp;14a-12</FONT> under the Exchange Act
<FONT STYLE="white-space:nowrap">(17&nbsp;CFR&nbsp;240.14a-12)</FONT> </P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TR style = "page-break-inside:avoid">
<TD WIDTH="4%" VALIGN="top" ALIGN="left">&#9744;</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><FONT STYLE="white-space:nowrap">Pre-commencement</FONT> communications pursuant to <FONT
STYLE="white-space:nowrap">Rule&nbsp;14d-2(b)</FONT> under the Exchange Act <FONT STYLE="white-space:nowrap">(17&nbsp;CFR&nbsp;240.14d-2(b))</FONT> </P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TR style = "page-break-inside:avoid">
<TD WIDTH="4%" VALIGN="top" ALIGN="left">&#9744;</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><FONT STYLE="white-space:nowrap">Pre-commencement</FONT> communications pursuant to <FONT
STYLE="white-space:nowrap">Rule&nbsp;13e-4(c)</FONT> under the Exchange Act <FONT STYLE="white-space:nowrap">(17&nbsp;CFR&nbsp;240.13e-4(c))</FONT> </P></TD></TR></TABLE>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933
(&#167;230.405 of this chapter) or Rule <FONT STYLE="white-space:nowrap">12b-2</FONT> of the Securities Exchange Act of 1934 <FONT STYLE="white-space:nowrap">(&#167;240.12b-2</FONT> of this chapter). </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="right">Emerging growth company&nbsp;&nbsp;&#9744; </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying
with any new or revised financial accounting standards provided pursuant to Section&nbsp;13(a) of the Exchange Act.&nbsp;&nbsp;&#9744; </P> <P STYLE="font-size:10pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<P STYLE="line-height:1.0pt;margin-top:0pt;margin-bottom:0pt;border-bottom:1px solid #000000">&nbsp;</P> <P STYLE="line-height:3.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1px solid #000000">&nbsp;</P>
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Item&nbsp;5.08. Shareholder Director Nominations. </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Board of Directors of Empire Resorts, Inc. (the &#147;Company&#148;) has established May&nbsp;6, 2019 as the date of the Company&#146;s
2019 Annual Meeting of Stockholders (the &#147;2019 Annual Meeting&#148;) and March&nbsp;13, 2019 as the record date for determining stockholders entitled to notice of, and to vote at, the 2019 Annual Meeting. The 2019 Annual Meeting will be held at
Resorts World Catskills. Because the date of the 2019 Annual Meeting has been changed by more than 30 days from the date of the 2018 Annual Meeting of Stockholders, stockholders of the Company who wish to nominate a person for election as a director
or propose business to be brought before the 2019 Annual Meeting must ensure that written notice of such nomination or proposed business, as the case may be, is received by the Company&#146;s Secretary at Empire Resorts, Inc., c/o Monticello Casino
and Raceway, 204 State Route 17B, P.O. Box 5013, Monticello, New York 12701 on or before the close of business on February&nbsp;5, 2019, which the Company has determined to be a reasonable time before it expects to begin to print and sent its proxy
materials. Any such nomination must also meet the requirements set forth in the rules and regulations of the Securities and Exchange Commission (the &#147;SEC&#148;) in order to be eligible for inclusion in the proxy materials for the 2019 Annual
Meeting including submission of notice of the nomination by Schedule 14N required pursuant to SEC Rule &#167; <FONT STYLE="white-space:nowrap">240.14a-18,</FONT> promulgated under the Securities Exchange Act of 1934, as amended (&#147;Exchange
Act&#148;). The February&nbsp;5, 2019 deadline will also apply in determining whether notice of a stockholder proposal is timely for purposes of exercising discretionary voting authority with respect to proxies under Rule <FONT
STYLE="white-space:nowrap">14a-4(c)</FONT> promulgated under the Exchange Act. Also, if the stockholder does not also comply with the requirements of Rule <FONT STYLE="white-space:nowrap">14a-4(c)(2)</FONT> under the Exchange Act, the Company&#146;s
proxies may exercise discretionary voting authority under proxies that the Company&#146;s Board of Directors solicits to vote in accordance with their best judgment on any such stockholder proposal or nomination. The Company encourages stockholders
to seek advice from knowledgeable counsel before submitting a proposal or a nomination. </P> <P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Item&nbsp;8.01. Other Events. </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Montreign Operating Company, LLC, doing business as Resorts World Catskills (&#147;Montreign Operating&#148;), is a wholly-owned subsidiary of
the Company and the owner and operator of Resorts World Catskills (the &#147;Casino&#148;) and the entertainment village (the &#147;Entertainment Project&#148;) located as the site of a destination resort in Sullivan County, New York. On
January&nbsp;1, 2019, Montreign Operating provided notice to its lenders pursuant to the terms of the Building Loan Disbursement Agreement among Credit Suisse AG, Cayman Islands Branch (&#147;Credit Suisse&#148;) as the Disbursement Agent,
Administrative Agent and Collateral Agent, Montreign Operating and Empire Resorts Real Estate II, LLC, dated as of January&nbsp;24, 2017 (the &#147;Building Loan Disbursement Agreement&#148;), of the substantial completion of the Casino and the
Entertainment Project in accordance with the requirements of the Building Loan Disbursement Agreement and the Building Term Loan Agreement among Montreign Operating, the lenders part thereto and Credit Suisse, dated as of January&nbsp;24, 2017. </P>
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>SIGNATURES </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by
the undersigned hereunto duly authorized. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Dated: January&nbsp;7, 2019 </P>
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<TD VALIGN="top" COLSPAN="3"><B>EMPIRE RESORTS, INC.</B></TD></TR>
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<TD VALIGN="top">By:</TD>
<TD VALIGN="bottom" STYLE=" BORDER-BOTTOM:1px solid #000000">&nbsp;</TD>
<TD VALIGN="top" STYLE="BORDER-BOTTOM:1px solid #000000">/s/ Ryan Eller</TD></TR>
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<TD VALIGN="top" COLSPAN="3">Name: Ryan Eller</TD></TR>
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<TD VALIGN="top" COLSPAN="3">Title: President and Chief Executive Officer</TD></TR>
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{"company-data": {"conformed-name": "EMPIRE RESORTS INC", "cik": "0000906780", "assigned-sic": "5810", "irs-number": "133714474", "state-of-incorporation": "DE", "fiscal-year-end": "1231"}, "filing-values": {"form-type": "8-K", "act": "34", "file-number": "001-12522", "film-number": "19513484"}, "business-address": {"street1": "204 STATE ROUTE 17B", "street2": "P.O. BOX 5013", "city": "MONTICELLO", "state": "NY", "zip": "12701", "phone": "(845) 807-0001"}, "mail-address": {"street1": "204 STATE ROUTE 17B", "street2": "P.O. BOX 5013", "city": "MONTICELLO", "state": "NY", "zip": "12701"}, "former-company": {"former-conformed-name": "ALPHA HOSPITALITY CORP", "date-changed": "19930614"}}
Form 8-K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant to Section 13 or Section 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): January 1, 2019
EMPIRE RESORTS, INC.
(Exact name of registrant as specified in its charter)
Delaware
001-12522
13-3714474
(State or other jurisdiction
of incorporation)
(Commission
File Number)
(IRS Employer
Identification No.)
c/o Monticello Casino and Raceway, State Route 17B,
P.O. Box 5013, Monticello, NY
12701
(Address of principal executive offices)
(Zip Code)
Registrant's telephone number, including area code: (845)
807-0001
Not Applicable
(Former name or former address, if changed since last report)
Check the appropriate box below if the
Form 8-K
filing is intended to simultaneously satisfy the
filing obligation to the registrant under any of the following provisions:
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐
Soliciting material pursuant to
Rule 14a-12
under the Exchange Act
(17 CFR 240.14a-12)
☐
Pre-commencement
communications pursuant to
Rule 14d-2(b)
under the Exchange Act
(17 CFR 240.14d-2(b))
☐
Pre-commencement
communications pursuant to
Rule 13e-4(c)
under the Exchange Act
(17 CFR 240.13e-4(c))
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933
(§230.405 of this chapter) or Rule
12b-2
of the Securities Exchange Act of 1934
(§240.12b-2
of this chapter).
Emerging growth company  ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying
with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  ☐
Item 5.08. Shareholder Director Nominations.
The Board of Directors of Empire Resorts, Inc. (the "Company") has established May 6, 2019 as the date of the Company's
2019 Annual Meeting of Stockholders (the "2019 Annual Meeting") and March 13, 2019 as the record date for determining stockholders entitled to notice of, and to vote at, the 2019 Annual Meeting. The 2019 Annual Meeting will be held at
Resorts World Catskills. Because the date of the 2019 Annual Meeting has been changed by more than 30 days from the date of the 2018 Annual Meeting of Stockholders, stockholders of the Company who wish to nominate a person for election as a director
or propose business to be brought before the 2019 Annual Meeting must ensure that written notice of such nomination or proposed business, as the case may be, is received by the Company's Secretary at Empire Resorts, Inc., c/o Monticello Casino
and Raceway, 204 State Route 17B, P.O. Box 5013, Monticello, New York 12701 on or before the close of business on February 5, 2019, which the Company has determined to be a reasonable time before it expects to begin to print and sent its proxy
materials. Any such nomination must also meet the requirements set forth in the rules and regulations of the Securities and Exchange Commission (the "SEC") in order to be eligible for inclusion in the proxy materials for the 2019 Annual
Meeting including submission of notice of the nomination by Schedule 14N required pursuant to SEC Rule §
240.14a-18,
promulgated under the Securities Exchange Act of 1934, as amended ("Exchange
Act"). The February 5, 2019 deadline will also apply in determining whether notice of a stockholder proposal is timely for purposes of exercising discretionary voting authority with respect to proxies under Rule
14a-4(c)
promulgated under the Exchange Act. Also, if the stockholder does not also comply with the requirements of Rule
14a-4(c)(2)
under the Exchange Act, the Company's
proxies may exercise discretionary voting authority under proxies that the Company's Board of Directors solicits to vote in accordance with their best judgment on any such stockholder proposal or nomination. The Company encourages stockholders
to seek advice from knowledgeable counsel before submitting a proposal or a nomination.
Item 8.01. Other Events.
Montreign Operating Company, LLC, doing business as Resorts World Catskills ("Montreign Operating"), is a wholly-owned subsidiary of
the Company and the owner and operator of Resorts World Catskills (the "Casino") and the entertainment village (the "Entertainment Project") located as the site of a destination resort in Sullivan County, New York. On
January 1, 2019, Montreign Operating provided notice to its lenders pursuant to the terms of the Building Loan Disbursement Agreement among Credit Suisse AG, Cayman Islands Branch ("Credit Suisse") as the Disbursement Agent,
Administrative Agent and Collateral Agent, Montreign Operating and Empire Resorts Real Estate II, LLC, dated as of January 24, 2017 (the "Building Loan Disbursement Agreement"), of the substantial completion of the Casino and the
Entertainment Project in accordance with the requirements of the Building Loan Disbursement Agreement and the Building Term Loan Agreement among Montreign Operating, the lenders part thereto and Credit Suisse, dated as of January 24, 2017.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by
the undersigned hereunto duly authorized.
Dated: January 7, 2019
EMPIRE RESORTS, INC.
By:
/s/ Ryan Eller
Name: Ryan Eller
Title: President and Chief Executive Officer