EMPIRE RESORTS,
INC.
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(Exact
Name of Registrant as Specified in Its Charter)
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Delaware
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13-3714474
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(State
or Other Jurisdiction
of
Incorporation or Organization)
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(IRS
Employer
Identification
No.)
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Large accelerated filer |
o
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Accelerated filer |
x
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Non-accelerated filer |
o
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Smaller reporting company |
o
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(Do
not check if a smaller reporting company)
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Title
of Shares to be Registered
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Amount
to be Registered (1)(2)
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Proposed
Maximum Offering Price Per Share (3)
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Proposed
Maximum Aggregate Offering Price
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Amount
of Registration Fee
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Common
Stock, $0.01 par value per share
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2,000,000
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$2.59
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$5,180,000
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$289.05
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TOTAL
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$289.05
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(1)
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Pursuant
to Rule 416(c) of the Securities Act of 1933, as amended, the registration
statement also covers such indeterminate additional shares of common stock
as may become issuable as a result of any future anti-dilution adjustment
in accordance with the terms of the Registrant’s Second Amended and
Restated 2005 Equity Incentive Plan (the
“Plan”).
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(2)
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The
number of shares available for the grant of options under the Plan has
been increased from 8,500,000 to
10,500,000.
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(3)
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Pursuant
to Rule 457 (h) of the Securities Act of 1933, as amended, the offering
price per share, solely for the purpose of calculating the registration
fee, is based on the average of the high and low prices of the
Registrant’s common stock on the NASDAQ Global Market on November 30,
2009.
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(1)
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Our
Annual Report on Form 10-K for the year ended December 31,
2008;
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(2)
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Our
Quarterly Reports on Form 10-Q for the quarterly periods ended March 31,
2009, June 30, 2009 and September 30,
2009;
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(3)
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Our
Current Reports on Form 8-K filed on each of February 5, 2009, March 23,
2009, March 24, 2009, April 14, 2009, April 17, 2009, May 1, 2009, May 29,
2009, June 3, 2009, June 9, 2009, June 15, 2009, June 30, 2009, July 10,
2009 (two reports), July 22, 2009, July 30, 2009, August 6. 2009, August
18, 2009, August 19, 2009, August 21, 2009, September 4, 2009, September
16, 2009, October 5, 2009, October 14, 2009, November 13, 2009, November
23, 2009 and November 30, 2009; and
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(4)
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The
description of our Common Stock, $0.01 par value, in our registration
statement on Form 8-A12B, as filed with the Commission on June 20, 2001
pursuant to Section 12(g) of the Securities Exchange Act of 1934, as
amended (the “Exchange Act”).
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Exhibit
No.
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Description
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5.1
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Opinion
of Olshan Grundman Frome & Rosenzweig LLP with respect to legality of
the Common Stock.
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23.1
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Consent
of Friedman LLP, an independent registered public accounting
firm.
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23.2
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Consent
of Olshan Grundman Frome Rosenzweig & Wolosky LLP, included in Exhibit
No. 5.1.
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24.1
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Power
of Attorney, included on the signature page to this Registration
Statement.
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EMPIRE
RESORTS, INC.
(Registrant)
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By:
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/s/ Joseph Bernstein | |
Name: | Joseph Bernstein | ||
Title: | Chief Executive Officer |
Signature
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Title
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Date
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/s/ Joseph Bernstein |
Chief
Executive Officer
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December 4,
2009
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Joseph
Bernstein
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(Principal
Executive Officer)
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/s/ Joseph D’Amato |
Chief
Financial Officer
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December 4,
2009
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Joseph
D’Amato
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(Principal
Accounting Officer)
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/s/ G. Michael Brown | ||||
G.
Michael Brown
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Director
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December 4,
2009
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/s/ Au Fook Yew | ||||
Au
Fook Yew
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Director
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December 4,
2009
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/s/ Ralph J. Bernstein | ||||
Ralph
J. Bernstein
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Director
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December 4,
2009
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/s/ Louis Cappelli | ||||
Louis
Cappelli
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Director
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December 4,
2009
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/s/ Paul A. deBary | ||||
Paul
A. deBary
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Director
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December 4,
2009
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/s/ Nancy A. Palumbo | ||||
Nancy
A. Palumbo
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Director
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December 4,
2009
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/s/ James Simon | ||||
James
Simon
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Director
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December 4,
2009
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Exhibit
No.
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Description
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5.1
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Opinion
of Olshan Grundman Frome & Rosenzweig LLP with respect to legality of
the Common Stock.
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23.1
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Consent
of Friedman LLP, an independent registered public accounting
firm.
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23.2
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Consent
of Olshan Grundman Frome Rosenzweig & Wolosky LLP, included in Exhibit
No. 5.1.
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24.1
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Power
of Attorney, included on the signature page to this Registration
Statement.
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