Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Atlas Crest Investment Corp. IIACII.U · Entity 126082 | Director | February 03, 2021 | February 03, 2021 |
| DIEBOLD NIXDORF, IncDBD · Entity 4421 | Director | February 28, 2025 | March 03, 2025 |
| EMPIRE RESORTS INCNYNY · Entity 153746 | Director · Executive Chairman | November 15, 2019 | November 15, 2019 |
| MidCap Financial Investment CorpMFIC · Entity 5121 | Director | March 11, 2025 | March 12, 2025 |
| NETWORK-1 TECHNOLOGIES, INC.NTIP-NYSE · Entity 7374 | Director | February 23, 2024 | February 26, 2024 |
| QualTek Services Inc.QTEK · Entity 115163 | Director | March 15, 2023 | March 17, 2023 |
| Redbox Entertainment Inc.RDBX · Entity 124587 | Director | March 10, 2022 | March 14, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Atlas Crest Investment Corp. II
Report date February 03, 2021 · Filed February 03, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Common StockSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2021-02-03 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: As described in the registrant's registration statement on Form S-1 (File No. 333-251893) (the "Registration Statement") under the heading "Description of Securities--Founder Shares," the shares of Class B common stock, par value $0.0001 per share, will automatically convert into shares of Class A common stock, par value $0.0001 per share, at the time of the registrant's initial business combination, on a one-for-one basis, subject to certain adjustments described therein and have no expiration date. F2: The reporting person has an indirect pecuniary interest in shares of Class B common stock of the registrant through membership interests in Atlas Crest Investment II LLC, over which the reporting person does not have voting or dispositive control. |
Filing footnotes · ownership attribution and instrument terms
F1: As described in the registrant's registration statement on Form S-1 (File No. 333-251893) (the "Registration Statement") under the heading "Description of Securities--Founder Shares," the shares of Class B common stock, par value $0.0001 per share, will automatically convert into shares of Class A common stock, par value $0.0001 per share, at the time of the registrant's initial business combination, on a one-for-one basis, subject to certain adjustments described therein and have no expiration date.
F2: The reporting person has an indirect pecuniary interest in shares of Class B common stock of the registrant through membership interests in Atlas Crest Investment II LLC, over which the reporting person does not have voting or dispositive control.
DIEBOLD NIXDORF, Inc
Report date February 28, 2025 · Filed March 03, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 40,000 |
Last balance in matching sequence
After 2025-02-28 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2025-02-28 · Sale · Disposed 1,000 · Balance 41,000 F1: Mr. Pearlman will not be standing for re-election and is reducing his holdings due to his tenure on the board ending as of the upcoming Annual Stockholder Meeting. F2: Number includes Restricted Stock Units. F3: Number includes Deferred Shares. Row 2 · 2025-02-28 · Sale · Disposed 1,000 · Balance 40,000 F1: Mr. Pearlman will not be standing for re-election and is reducing his holdings due to his tenure on the board ending as of the upcoming Annual Stockholder Meeting. F2: Number includes Restricted Stock Units. F3: Number includes Deferred Shares. |
Filing footnotes · ownership attribution and instrument terms
F1: Mr. Pearlman will not be standing for re-election and is reducing his holdings due to his tenure on the board ending as of the upcoming Annual Stockholder Meeting.
F2: Number includes Restricted Stock Units.
F3: Number includes Deferred Shares.
EMPIRE RESORTS INC
Report date November 15, 2019 · Filed November 15, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $.01 par value per shareSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-11-15 transaction · row 1
1 source rowRow 1 · 2019-11-15 · Disposition to issuer · Disposed 108,331 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger between Empire Resorts, Inc. (the "Company", Hercules Topco LLC, and Hercules Merger Subsidiary Inc. (the "Merger Agreement") on the effective date of the merger. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-11-15 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-11-15 · Disposition to issuer · Disposed 50,000 · Balance 0 F2: On January 20, 2019, Mr. Pearlman was granted 50,000 restricted stock units ("RSUs") under the Empire Resorts, Inc. 2015 Equity Incentive Plan, as amended, which were to vest annually in three equal installments, with one third vesting on January 21, 2020, one third vesting on January 21, 2021 and one third vesting on January 21, 2022. Each RSU represented the right to receive one share of the Company's common stock. On the effective date of the merger, all outstanding RSUs, whether or not then vested, were canceled, extinguished and converted into the right to receive the merger consideration issuable to holders of common stock pursuant to the Merger Agreement. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to the Agreement and Plan of Merger between Empire Resorts, Inc. (the "Company", Hercules Topco LLC, and Hercules Merger Subsidiary Inc. (the "Merger Agreement") on the effective date of the merger.
F2: On January 20, 2019, Mr. Pearlman was granted 50,000 restricted stock units ("RSUs") under the Empire Resorts, Inc. 2015 Equity Incentive Plan, as amended, which were to vest annually in three equal installments, with one third vesting on January 21, 2020, one third vesting on January 21, 2021 and one third vesting on January 21, 2022. Each RSU represented the right to receive one share of the Company's common stock. On the effective date of the merger, all outstanding RSUs, whether or not then vested, were canceled, extinguished and converted into the right to receive the merger consideration issuable to holders of common stock pursuant to the Merger Agreement.
MidCap Financial Investment Corp
Report date March 11, 2025 · Filed March 12, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,800 |
Reported balance
After 2025-03-11 transaction · row 1
1 source rowRow 1 · 2025-03-11 · Purchase · Acquired 800 · Balance 2,800 F1: The price reported in Column 4 is a weighted average price. These shares of common stock, par value $0.001 per share ("Common Stock") of MidCap Financial Investment Corporation (the "Issuer") were purchased in multiple transactions ranging from $12.39 to $12.558, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock purchased at each separate price in the range set forth in this footnote. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares of common stock, par value $0.001 per share ("Common Stock") of MidCap Financial Investment Corporation (the "Issuer") were purchased in multiple transactions ranging from $12.39 to $12.558, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock purchased at each separate price in the range set forth in this footnote.
NETWORK-1 TECHNOLOGIES, INC.
Report date February 23, 2024 · Filed February 26, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $.01 par value per shareSEC Table I · non-derivative | Direct | 143,309 |
Reported balance
After 2024-02-23 transaction · row 1
1 source rowRow 1 · 2024-02-23 · Grant · Acquired 15,000 · Balance 143,309 F1: Represents common stock underlying 15,000 restricted stock units, each representing a contingent right to receive one share of common stock. The 15,000 restricted stock units vest over a one year period in four equal quarterly installments of 3,750 shares of common stock on March 15, 2024, June 15, 2024, September 15, 2024 and December 15, 2024, subject to Mr. Pearlman continuing to serve on the Board of Directors. The shares are deliverable to the reporting person upon each vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents common stock underlying 15,000 restricted stock units, each representing a contingent right to receive one share of common stock. The 15,000 restricted stock units vest over a one year period in four equal quarterly installments of 3,750 shares of common stock on March 15, 2024, June 15, 2024, September 15, 2024 and December 15, 2024, subject to Mr. Pearlman continuing to serve on the Board of Directors. The shares are deliverable to the reporting person upon each vesting date.
QualTek Services Inc.
Report date March 15, 2023 · Filed March 17, 2023
This filing explicitly reported no securities owned.
Redbox Entertainment Inc.
Report date March 10, 2022 · Filed March 14, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | Direct | 38,860 |
Reported balance
After 2022-03-10 transaction · row 1
1 source rowRow 1 · 2022-03-10 · Grant · Acquired 38,860 · Balance 38,860 F1: Reflects a restricted stock unit award that vests in full on the one-year anniversary of the date of grant. |
| Class A Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | IndirectBy Trust | 950 |
Reported balance
Holding disclosure · report date 2022-03-10 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 950 F2: The reporting person is sole beneficiary and co-trustee of this trust. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects a restricted stock unit award that vests in full on the one-year anniversary of the date of grant.
F2: The reporting person is sole beneficiary and co-trustee of this trust.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Archer Aviation Inc.
Report date September 16, 2021 · Filed September 20, 2021
Section 16 reporting ended · disclosed 2021-09-20. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
ClubCorp Holdings, Inc.
Report date September 18, 2017 · Filed September 20, 2017
Section 16 reporting ended · disclosed 2017-09-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-09-18 transaction · row 1
1 source rowRow 1 · 2017-09-18 · Disposition to issuer · Disposed 4,106 · Balance 0 F1: On September 18, 2017, pursuant to the Agreement and Plan of Merger dated as of July 9, 2017, by and among ClubCorp Holdings, Inc., Constellation Club Parent, Inc. and Constellation Merger Sub Inc. (the "Merger Agreement") ClubCorp Holdings, Inc. was acquired by certain funds managed by affiliates of Apollo Global Management, LLC. F2: Pursuant to the Merger Agreement, each outstanding share of the Issuer's common stock was converted into the right to receive $17.12 per share in cash, without interest and subject to any applicable tax withholding. |
Filing footnotes · ownership attribution and instrument terms
F1: On September 18, 2017, pursuant to the Agreement and Plan of Merger dated as of July 9, 2017, by and among ClubCorp Holdings, Inc., Constellation Club Parent, Inc. and Constellation Merger Sub Inc. (the "Merger Agreement") ClubCorp Holdings, Inc. was acquired by certain funds managed by affiliates of Apollo Global Management, LLC.
F2: Pursuant to the Merger Agreement, each outstanding share of the Issuer's common stock was converted into the right to receive $17.12 per share in cash, without interest and subject to any applicable tax withholding.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 11, 2025 Filed Mar 12, 2025 20:05 UTC | MidCap Financial Investment Corp MFIC · Entity 5121 | PurchaseCommon Stock | 800 | $12.52 | $10,015.12 |
DisclosureSEC source: 0000950170-25-037910 · ownership.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,800 F1 · price: The price reported in Column 4 is a weighted average price. These shares of common stock, par value $0.001 per share ("Common Stock") of MidCap Financial Investment Corporation (the "Issuer") were purchased in multiple transactions ranging from $12.39 to $12.558, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock purchased at each separate price in the range set forth in this footnote. Read SEC document |
| March 10, 2025 Filed Mar 11, 2025 20:05 UTC | MidCap Financial Investment Corp MFIC · Entity 5121 | PurchaseCommon Stock | 1,000 | $13.09 | $13,090.00 |
DisclosureSEC source: 0000950170-25-037128 · ownership.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares of common stock, par value $0.001 per share ("Common Stock") of MidCap Financial Investment Corporation (the "Issuer") were purchased in multiple transactions ranging from $13.0899 to $13.0900, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock purchased at each separate price in the range set forth in this footnote. Read SEC document |
| February 28, 2025 Filed Mar 3, 2025 22:30 UTC | DIEBOLD NIXDORF, Inc DBD · Entity 4421 | SaleCommon Stock | 1,000 | $43.65 | $43,650.00 |
DisclosureSEC source: 0000028823-25-000037 · wk-form4_1741041032.xml · nonDerivative · entry 2 PEARLMAN EMANUEL R · CIK 0001315915 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,000 F1 · shares: Mr. Pearlman will not be standing for re-election and is reducing his holdings due to his tenure on the board ending as of the upcoming Annual Stockholder Meeting. F2 · balance_after: Number includes Restricted Stock Units. F3 · balance_after: Number includes Deferred Shares. Read SEC document |
| February 28, 2025 Filed Mar 3, 2025 22:30 UTC | DIEBOLD NIXDORF, Inc DBD · Entity 4421 | SaleCommon Stock | 1,000 | $43.71 | $43,710.00 |
DisclosureSEC source: 0000028823-25-000037 · wk-form4_1741041032.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,000 F1 · shares: Mr. Pearlman will not be standing for re-election and is reducing his holdings due to his tenure on the board ending as of the upcoming Annual Stockholder Meeting. F2 · balance_after: Number includes Restricted Stock Units. F3 · balance_after: Number includes Deferred Shares. Read SEC document |
| August 12, 2024 Filed Aug 14, 2024 22:20 UTC | MidCap Financial Investment Corp MFIC · Entity 5121 | PurchaseCommon Stock | 1,000 | $12.98 | $12,980.00 |
DisclosureSEC source: 0000950170-24-097300 · ownership.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,000 Read SEC document |
| February 23, 2024 Filed Feb 26, 2024 14:54 UTC | NETWORK-1 TECHNOLOGIES, INC. NTIP-NYSE · Entity 7374 | GrantCommon Stock, $.01 par value per share | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001072613-24-000269 · pearlman4-022324_18683.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 143,309 F1 · shares: Represents common stock underlying 15,000 restricted stock units, each representing a contingent right to receive one share of common stock. The 15,000 restricted stock units vest over a one year period in four equal quarterly installments of 3,750 shares of common stock on March 15, 2024, June 15, 2024, September 15, 2024 and December 15, 2024, subject to Mr. Pearlman continuing to serve on the Board of Directors. The shares are deliverable to the reporting person upon each vesting date. Read SEC document |
| December 24, 2023 Filed Dec 26, 2023 14:58 UTC | DIEBOLD NIXDORF, Inc DBD · Entity 4421 | GrantDirector Stock Option (right to buy) · Derivative | 80,000 | $0.00 Strike: $30.00 | $0.00 |
DisclosureSEC source: 0000028823-23-000166 · wk-form4_1703602682.xml · derivative · entry 2 PEARLMAN EMANUEL R · CIK 0001315915 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 80,000 Underlying: Common Stock · 80,000 shares Expires 2028-12-24 F1 · derivative.exercise_date: Granted under the Diebold Nixdorf, Incorporated 2023 Equity and Incentive Plan, as amended; option is generally exercisable in substantially equal installments on each of the first four anniversaries of September 22, 2023. Read SEC document |
| December 24, 2023 Filed Dec 26, 2023 14:58 UTC | DIEBOLD NIXDORF, Inc DBD · Entity 4421 | GrantCommon Stock | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000028823-23-000166 · wk-form4_1703602682.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 42,000 Read SEC document |
| September 11, 2023 Filed Sep 12, 2023 22:31 UTC | DIEBOLD NIXDORF, Inc DBD · Entity 4421 | PurchaseCommon Stock | 1,000 | $18.31 | $18,310.00 |
DisclosureSEC source: 0000028823-23-000147 · wk-form4_1694557900.xml · nonDerivative · entry 2 PEARLMAN EMANUEL R · CIK 0001315915 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,000 Read SEC document |
| September 11, 2023 Filed Sep 12, 2023 22:31 UTC | DIEBOLD NIXDORF, Inc DBD · Entity 4421 | PurchaseCommon Stock | 1,000 | $18.32 | $18,315.00 |
DisclosureSEC source: 0000028823-23-000147 · wk-form4_1694557900.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,000 Read SEC document |
| March 03, 2023 Filed Mar 6, 2023 15:27 UTC | NETWORK-1 TECHNOLOGIES, INC. NTIP-NYSE · Entity 7374 | GrantCommon Stock, $.01 par value per share | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001072613-23-000239 · pearlman4-030323_18683.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,309 F1 · shares: Represents common stock underlying 15,000 restricted stock units, each representing a contingent right to receive one share of common stock. The 15,000 restricted stock units vest over a one year period in four equal quarterly installments of 3,750 shares of common stock on March 15, 2023, June 15, 2023, September 15, 2023 and December 15, 2023, subject to Mr. Pearlman continuing to serve on the Board of Directors. The shares are deliverable to the reporting person upon each vesting date. Read SEC document |
| March 10, 2022 Filed Mar 14, 2022 18:04 UTC | Redbox Entertainment Inc. RDBX · Entity 124587 | GrantClass A Common Stock, par value $0.0001 per share | 38,860 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-22-004656 · doc4.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,860 F1 · shares: Reflects a restricted stock unit award that vests in full on the one-year anniversary of the date of grant. Read SEC document |
| February 23, 2022 Filed Feb 24, 2022 17:36 UTC | NETWORK-1 TECHNOLOGIES, INC. NTIP-NYSE · Entity 7374 | GrantCommon Stock, $.01 par value per share | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001072613-22-000294 · pearlman4-022322_18579.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,309 F1 · shares: Represents common stock underlying 15,000 restricted stock units, each representing a contingent right to receive one share of common stock. The 15,000 restricted stock units vest over a one year period in four equal quarterly installments of 3,750 shares of common stock on March 15, 2022, June 15, 2022, September 15, 2022 and December 15, 2022, subject to Mr. Pearlman continuing to serve on the Board of Directors. The shares are deliverable to the reporting person upon each vesting date. Read SEC document |
| May 27, 2021 Filed May 28, 2021 20:34 UTC | NETWORK-1 TECHNOLOGIES, INC. NTIP-NYSE · Entity 7374 | Disposition to issuerCommon Stock, $.01 par value per share | 40,000 | $3.27 | $130,800.00 |
DisclosureSEC source: 0001072613-21-000435 · pearlman4-052721_18505.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,059 F1 · shares: Represents sale of shares to the Issuer pursuant to 16b-3(e). Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 19:05 UTC | NETWORK-1 TECHNOLOGIES, INC. NTIP-NYSE · Entity 7374 | GrantCommon Stock, $.01 par value per share | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001072613-21-000273 · pearlman4-022321_18469.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,309 F1 · shares: Represents common stock underlying 15,000 restricted stock units, each representing a contingent right to receive one share of common stock. The 15,000 restricted stock units vest over a one year period in four equal quarterly installments of 3,750 shares of common stock on March 15, 2021, June 15, 2021, September 15, 2021 and December 15, 2021, subject to Mr. Pearlman continuing to serve on the Board of Directors. The shares are deliverable to the reporting person upon each vesting date. Read SEC document |
| February 19, 2020 Filed Feb 21, 2020 16:32 UTC | NETWORK-1 TECHNOLOGIES, INC. NTIP-NYSE · Entity 7374 | GrantCommon Stock, $.01 par value per share | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001072613-20-000116 · pearlman4-021920_18356.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,309 F1 · shares: Represents common stock underlying 15,000 restricted stock units, each representing a contingent right to receive one share of common stock. The 15,000 restricted stock units vest over a one year period in four equal quarterly installments of 3,750 shares of common stock on March 15, 2020, June 15, 2020, September 15, 2020 and December 15, 2020, subject to Mr. Pearlman continuing to serve on the Board of Directors. The shares are deliverable to the reporting person upon each vesting date. Read SEC document |
| January 22, 2020 Filed Jan 23, 2020 22:37 UTC | NETWORK-1 TECHNOLOGIES, INC. NTIP-NYSE · Entity 7374 | Exercise / conversionOption to purchase common stock (right to buy) · Derivative | 35,000 | $0.00 Strike: $2.34 | $0.00 |
DisclosureSEC source: 0001072613-20-000010 · primary_doc.xml · derivative · entry 3 PEARLMAN EMANUEL R · CIK 0001315915 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 35,000 shares Expires 2020-01-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 22, 2020 Filed Jan 23, 2020 22:37 UTC | NETWORK-1 TECHNOLOGIES, INC. NTIP-NYSE · Entity 7374 | Tax withholdingCommon Stock, $.01 par value per share | 33,431 | $2.45 | $81,899.26 |
DisclosureSEC source: 0001072613-20-000010 · primary_doc.xml · nonDerivative · entry 2 PEARLMAN EMANUEL R · CIK 0001315915 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,309 F1 · shares: Shares delivered in connection with a net (cashless) exercise of a stock option to purchase 35,000 shares resulting in net shares issued to Mr. Pearlman of 1,569. Read SEC document |
| January 22, 2020 Filed Jan 23, 2020 22:37 UTC | NETWORK-1 TECHNOLOGIES, INC. NTIP-NYSE · Entity 7374 | Exercise / conversionCommon Stock, $.01 par value per share | 35,000 | $2.34 | $81,900.00 |
DisclosureSEC source: 0001072613-20-000010 · primary_doc.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,740 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 15, 2019 Filed Nov 15, 2019 16:45 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | Disposition to issuerRestricted Stock Units · Derivative | 50,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-027392 · doc4.xml · derivative · entry 2 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $.01 per share · 50,000 shares Expires not disclosed F2 · derivative.exercise_price: On January 20, 2019, Mr. Pearlman was granted 50,000 restricted stock units ("RSUs") under the Empire Resorts, Inc. 2015 Equity Incentive Plan, as amended, which were to vest annually in three equal installments, with one third vesting on January 21, 2020, one third vesting on January 21, 2021 and one third vesting on January 21, 2022. Each RSU represented the right to receive one share of the Company's common stock. On the effective date of the merger, all outstanding RSUs, whether or not then vested, were canceled, extinguished and converted into the right to receive the merger consideration issuable to holders of common stock pursuant to the Merger Agreement. F2 · price: On January 20, 2019, Mr. Pearlman was granted 50,000 restricted stock units ("RSUs") under the Empire Resorts, Inc. 2015 Equity Incentive Plan, as amended, which were to vest annually in three equal installments, with one third vesting on January 21, 2020, one third vesting on January 21, 2021 and one third vesting on January 21, 2022. Each RSU represented the right to receive one share of the Company's common stock. On the effective date of the merger, all outstanding RSUs, whether or not then vested, were canceled, extinguished and converted into the right to receive the merger consideration issuable to holders of common stock pursuant to the Merger Agreement. F2 · derivative.exercise_date: On January 20, 2019, Mr. Pearlman was granted 50,000 restricted stock units ("RSUs") under the Empire Resorts, Inc. 2015 Equity Incentive Plan, as amended, which were to vest annually in three equal installments, with one third vesting on January 21, 2020, one third vesting on January 21, 2021 and one third vesting on January 21, 2022. Each RSU represented the right to receive one share of the Company's common stock. On the effective date of the merger, all outstanding RSUs, whether or not then vested, were canceled, extinguished and converted into the right to receive the merger consideration issuable to holders of common stock pursuant to the Merger Agreement. F2 · derivative.expiration_date: On January 20, 2019, Mr. Pearlman was granted 50,000 restricted stock units ("RSUs") under the Empire Resorts, Inc. 2015 Equity Incentive Plan, as amended, which were to vest annually in three equal installments, with one third vesting on January 21, 2020, one third vesting on January 21, 2021 and one third vesting on January 21, 2022. Each RSU represented the right to receive one share of the Company's common stock. On the effective date of the merger, all outstanding RSUs, whether or not then vested, were canceled, extinguished and converted into the right to receive the merger consideration issuable to holders of common stock pursuant to the Merger Agreement. Read SEC document |
| November 15, 2019 Filed Nov 15, 2019 16:45 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | Disposition to issuerCommon Stock, $.01 par value per share | 108,331 | $9.74 | $1,055,143.94 |
DisclosureSEC source: 0000899243-19-027392 · doc4.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Disposed of pursuant to the Agreement and Plan of Merger between Empire Resorts, Inc. (the "Company", Hercules Topco LLC, and Hercules Merger Subsidiary Inc. (the "Merger Agreement") on the effective date of the merger. Read SEC document |
| March 22, 2019 Filed Mar 22, 2019 17:26 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | GiftCommon Stock, $.01 par value per share | 3,600 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-008812 · doc4.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,331 Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 17:05 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | Tax withholdingCommon Stock, $.01 par value per share | 9,791 | $10.81 | $105,840.71 |
DisclosureSEC source: 0000899243-19-008347 · doc4.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,931 F1 · price: 18,750 shares of a restricted stock grant made to Mr. Pearlman under the Empire Resorts, Inc. 2015 Equity Incentive Plan vested on March 15, 2019. On March 15, 2019, 9,791 shares of common stock were withheld (at the closing price of the issuer's common stock on the Nasdaq Global Market on March 15, 2019) to satisfy the tax obligation relating to the vesting of the restricted stock pursuant to Section 16b-3(e) under the Securities Exchange Act of 1934. Read SEC document |
| February 13, 2019 Filed Feb 15, 2019 14:29 UTC | NETWORK-1 TECHNOLOGIES, INC. NTIP-NYSE · Entity 7374 | Exercise / conversionOption to purchase common stock (right to buy) · Derivative | 35,000 | $0.00 Strike: $1.65 | $0.00 |
DisclosureSEC source: 0001072613-19-000110 · pearlman4-021319_18271.xml · derivative · entry 3 PEARLMAN EMANUEL R · CIK 0001315915 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 35,000 shares Expires 2019-04-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 13, 2019 Filed Feb 15, 2019 14:29 UTC | NETWORK-1 TECHNOLOGIES, INC. NTIP-NYSE · Entity 7374 | Tax withholdingCommon Stock, $.01 par value per share | 23,100 | $2.50 | $57,750.00 |
DisclosureSEC source: 0001072613-19-000110 · pearlman4-021319_18271.xml · nonDerivative · entry 2 PEARLMAN EMANUEL R · CIK 0001315915 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,740 F1 · shares: Shares delivered in connection with a net (cashless) exercise of a stock option to purchase 35,000 shares resulting in net shares issued to Mr. Pearlman of 11,900. Read SEC document |
| February 13, 2019 Filed Feb 15, 2019 14:29 UTC | NETWORK-1 TECHNOLOGIES, INC. NTIP-NYSE · Entity 7374 | Exercise / conversionCommon Stock, $.01 par value per share | 35,000 | $1.65 | $57,750.00 |
DisclosureSEC source: 0001072613-19-000110 · pearlman4-021319_18271.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,840 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 30, 2019 Filed Jan 30, 2019 18:17 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | SaleCommon Stock, $.01 par value per share | 1,000 | $12.21 | $12,212.30 |
DisclosureSEC source: 0000899243-19-002220 · doc4.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,722 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions at prices ranging from $12.01 to $12.63, inclusive. The reporting person undertakes to provide to Empire Resorts, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| January 28, 2019 Filed Jan 28, 2019 18:18 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | SaleCommon Stock, $.01 par value per share | 1,000 | $12.39 | $12,386.40 |
DisclosureSEC source: 0000899243-19-002053 · doc4.xml · nonDerivative · entry 2 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,722 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions at prices ranging from $12.15 to $12.60, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| January 24, 2019 Filed Jan 28, 2019 18:18 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | SaleCommon Stock, $.01 par value per share | 1,000 | $12.12 | $12,120.30 |
DisclosureSEC source: 0000899243-19-002053 · doc4.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,722 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions at prices ranging from $12.025 to $12.32, inclusive. The reporting person undertakes to provide to Empire Resorts, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| January 22, 2019 Filed Jan 22, 2019 19:36 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | SaleCommon Stock, $.01 par value per share | 1,000 | $13.37 | $13,366.00 |
DisclosureSEC source: 0000899243-19-001656 · doc4.xml · nonDerivative · entry 2 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,722 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions at prices ranging from $13.20 to $13.48, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| January 21, 2019 Filed Jan 23, 2019 21:29 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | GrantRestricted Stock Units · Derivative | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-001824 · doc4.xml · derivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock, par value $.01 per share · 50,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Empire Resorts, Inc. (the "Company"). The Company may also elect to settle the vested RSUs for cash at its discretion. F2 · derivative.exercise_date: Mr. Pearlman was granted 50,000 RSUs under the Empire Resorts, Inc. 2015 Equity Incentive Plan, as amended (the "Plan"), which RSUs vest annually in three equal installments, with one third vesting on January 21, 2020, one third vesting on January 21, 2021 and one third vesting on January 21, 2022; provided that the RSUs shall vest immediately: (i) upon a Change in Control, or (ii) if Mr. Pearlman is terminated as Executive Chairman for any reason other than for Cause. Subject to Mr. Pearlman's continued employment with the Company, the shares of common stock deliverable upon vesting of the RSUs shall be delivered on January 21, 2022. All capitalized but undefined terms have the meanings ascribed thereto by the Plan. F2 · derivative.expiration_date: Mr. Pearlman was granted 50,000 RSUs under the Empire Resorts, Inc. 2015 Equity Incentive Plan, as amended (the "Plan"), which RSUs vest annually in three equal installments, with one third vesting on January 21, 2020, one third vesting on January 21, 2021 and one third vesting on January 21, 2022; provided that the RSUs shall vest immediately: (i) upon a Change in Control, or (ii) if Mr. Pearlman is terminated as Executive Chairman for any reason other than for Cause. Subject to Mr. Pearlman's continued employment with the Company, the shares of common stock deliverable upon vesting of the RSUs shall be delivered on January 21, 2022. All capitalized but undefined terms have the meanings ascribed thereto by the Plan. Read SEC document |
| January 17, 2019 Filed Jan 22, 2019 19:36 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | SaleCommon Stock, $.01 par value per share | 1,000 | $14.11 | $14,109.70 |
DisclosureSEC source: 0000899243-19-001656 · doc4.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,722 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions at prices ranging from $14.00 to $14.25, inclusive. The reporting person undertakes to provide to Empire Resorts, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| January 15, 2019 Filed Jan 15, 2019 19:32 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | SaleCommon Stock, $.01 par value per share | 1,000 | $12.58 | $12,580.00 |
DisclosureSEC source: 0000899243-19-001250 · doc4.xml · nonDerivative · entry 2 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,722 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions at prices ranging from $12.25 to $12.72, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| January 15, 2019 Filed Jan 16, 2019 14:46 UTC | NETWORK-1 TECHNOLOGIES, INC. NTIP-NYSE · Entity 7374 | GrantCommon Stock, $.01 par value per share | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001072613-19-000018 · pearlman4-011519_18271.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,840 F1 · shares: Represents common stock underlying 15,000 restricted stock units, each representing a contingent right to receive one share of common stock. The 15,000 restricted stock units vest over a one year period in four equal quarterly installments of 3,750 shares of common stock on March 15, 2019, June 15, 2019, September 15, 2019 and December 15, 2019, subject to Mr. Pearlman continuing to serve on the Board. The shares are deliverable to the reporting person upon each vesting date. Read SEC document |
| January 11, 2019 Filed Jan 15, 2019 19:32 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | SaleCommon Stock, $.01 par value per share | 1,000 | $11.15 | $11,151.90 |
DisclosureSEC source: 0000899243-19-001250 · doc4.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,722 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions at prices ranging from $10.90 to $11.40, inclusive. The reporting person undertakes to provide to Empire Resorts, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| January 09, 2019 Filed Jan 9, 2019 17:38 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | SaleCommon Stock, $.01 par value per share | 1,000 | $10.05 | $10,053.90 |
DisclosureSEC source: 0000899243-19-000863 · doc4.xml · nonDerivative · entry 2 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,722 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions at prices ranging from $9.535 to $10.28, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| January 07, 2019 Filed Jan 9, 2019 17:38 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | SaleCommon Stock, $.01 par value per share | 1,000 | $10.30 | $10,301.00 |
DisclosureSEC source: 0000899243-19-000863 · doc4.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,722 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions at prices ranging from $10.25 to $10.42, inclusive. The reporting person undertakes to provide to Empire Resorts, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| January 03, 2019 Filed Jan 3, 2019 18:19 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | SaleCommon Stock, $.01 par value per share | 1,000 | $10.08 | $10,080.80 |
DisclosureSEC source: 0000899243-19-000322 · doc4.xml · nonDerivative · entry 2 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,722 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions at prices ranging from $10.035 to $10.24, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 31, 2018 Filed Jan 3, 2019 18:19 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | SaleCommon Stock, $.01 par value per share | 1,000 | $10.55 | $10,554.00 |
DisclosureSEC source: 0000899243-19-000322 · doc4.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,722 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions at prices ranging from $10.00 to $11.00, inclusive. The reporting person undertakes to provide to Empire Resorts, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 27, 2018 Filed Dec 27, 2018 21:25 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | SaleCommon Stock, $.01 par value per share | 1,000 | $9.63 | $9,631.20 |
DisclosureSEC source: 0000899243-18-031914 · doc4.xml · nonDerivative · entry 2 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,722 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions at prices ranging from $9.21 to $9.88, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 24, 2018 Filed Dec 27, 2018 21:25 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | SaleCommon Stock, $.01 par value per share | 1,000 | $9.01 | $9,013.00 |
DisclosureSEC source: 0000899243-18-031914 · doc4.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,722 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions at prices ranging from $9.00 to $9.13, inclusive. The reporting person undertakes to provide to Empire Resorts, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 20, 2018 Filed Dec 21, 2018 16:15 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | SaleCommon Stock, $.01 par value per share | 1,000 | $8.96 | $8,955.00 |
DisclosureSEC source: 0000899243-18-031590 · doc4.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,722 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions at prices ranging from $8.88 to $9.05, inclusive. The reporting person undertakes to provide to Empire Resorts, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 18, 2018 Filed Dec 18, 2018 21:17 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | SaleCommon Stock, $.01 par value per share | 1,598 | $9.48 | $15,148.08 |
DisclosureSEC source: 0000899243-18-031374 · doc4.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,722 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions at prices ranging from $9.24 to $9.91, inclusive. The reporting person undertakes to provide to Empire Resorts, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 17, 2018 Filed Dec 17, 2018 18:13 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | SaleCommon Stock, $.01 par value per share | 1,000 | $9.91 | $9,905.00 |
DisclosureSEC source: 0000899243-18-031247 · doc4.xml · nonDerivative · entry 2 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,320 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions at prices ranging from $9.69 to $10.35, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 14, 2018 Filed Dec 17, 2018 18:13 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | SaleCommon Stock, $.01 par value per share | 1,000 | $10.34 | $10,339.00 |
DisclosureSEC source: 0000899243-18-031247 · doc4.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,320 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions at prices ranging from $9.80 to $10.60, inclusive. The reporting person undertakes to provide to Empire Resorts, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 13, 2018 Filed Dec 14, 2018 16:10 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | SaleCommon Stock, $.01 par value per share | 1,000 | $10.45 | $10,454.00 |
DisclosureSEC source: 0000899243-18-031062 · doc4.xml · nonDerivative · entry 2 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,320 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions at prices ranging from $10.11 to $10.85, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 12, 2018 Filed Dec 14, 2018 16:10 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | SaleCommon Stock, $.01 par value per share | 1,000 | $10.62 | $10,621.00 |
DisclosureSEC source: 0000899243-18-031062 · doc4.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,320 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions at prices ranging from $10.00 to $11.28, inclusive. The reporting person undertakes to provide to Empire Resorts, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 11, 2018 Filed Dec 11, 2018 18:24 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | SaleCommon Stock, $.01 par value per share | 1,000 | $10.32 | $10,323.20 |
DisclosureSEC source: 0000899243-18-030677 · doc4.xml · nonDerivative · entry 2 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,320 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions at prices ranging from $10.20 to $10.51, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 10, 2018 Filed Dec 11, 2018 18:24 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | SaleCommon Stock, $.01 par value per share | 1,000 | $10.33 | $10,325.50 |
DisclosureSEC source: 0000899243-18-030677 · doc4.xml · nonDerivative · entry 1 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,320 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions at prices ranging from $10.105 to $10.52, inclusive. The reporting person undertakes to provide to Empire Resorts, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 07, 2018 Filed Dec 10, 2018 16:16 UTC | EMPIRE RESORTS INC NYNY · Entity 153746 | SaleCommon Stock, $.01 par value per share | 1,000 | $10.37 | $10,374.00 |
DisclosureSEC source: 0000899243-18-030543 · doc4.xml · nonDerivative · entry 2 PEARLMAN EMANUEL R · CIK 0001315915 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,320 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions at prices ranging from $10.11 to $10.53, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.