0001209191-13-054171.txt : 20131126
0001209191-13-054171.hdr.sgml : 20131126
20131126165457
ACCESSION NUMBER: 0001209191-13-054171
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20131122
FILED AS OF DATE: 20131126
DATE AS OF CHANGE: 20131126
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: NEWCASTLE INVESTMENT CORP
CENTRAL INDEX KEY: 0001175483
STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798]
IRS NUMBER: 810559116
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: C/O FORTRESS
STREET 2: 1345 AVENUE OF THE AMERICAS 46TH FL
CITY: NEW YORK
STATE: NY
ZIP: 10105
BUSINESS PHONE: 2127986100
MAIL ADDRESS:
STREET 1: C/O FORTRESS
STREET 2: 1345 AVENUE OF THE AMERICAS 46TH FL
CITY: NEW YORK
STATE: NY
ZIP: 10105
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: EDENS WESLEY R
CENTRAL INDEX KEY: 0001124460
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-31458
FILM NUMBER: 131244787
MAIL ADDRESS:
STREET 1: 1345 AVENUE OF THE AMERICAS, 46TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10105
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2013-11-22
0
0001175483
NEWCASTLE INVESTMENT CORP
NCT
0001124460
EDENS WESLEY R
FORTRESS INVESTMENT GROUP LLC
1345 AVENUE OF THE AMERICAS, 46TH FLOOR
NEW YORK
NY
10105
1
0
0
0
Common Stock, par value $0.01 per share
2013-11-22
4
A
0
190476
5.25
A
2673691
D
Common Stock, par value $0.01 per share
100000
I
Chinook Charitable Trust
Common Stock, par value $0.01 per share
100000
I
Hoofbeat Charitable Trust
Common Stock, par value $0.01 per share
1037091
I
Fortress Operating Entity I LP
Common Stock, par value $0.01 per share
4650
I
As trustee for Lynn Edens
Common Stock, par value $0.01 per share
134800
I
Fortress Partners Securities LLC
Common Stock, par value $0.01 per share
56800
I
Fortress Partners Offshore Securities LLC
Stock Option (right to buy)
5.25
2013-11-22
4
A
0
5795095
0.00
A
2023-11-22
Common Stock, par value $0.01 per share
5795095
5795095
I
Fortress Operating Entity I LP
On November 22, 2013, Mr. Edens purchased 190,476 shares of the issuer's common stock directly from the issuer in connection with a public offering of common stock by the issuer.
Mr. Edens may be deemed to be the beneficial owner of these shares but disclaims beneficial ownership.
Mr. Edens may be deemed to be the beneficial owner of these securities by virtue of his relationship to Fortress Operating Entity I ("FOE I"). Mr. Edens disclaims beneficial ownership of any securities (and the underlying shares of common stock, if applicable) of the issuer held by FOE I except to the extent of his pecuniary interest therein.
Mr. Edens may be deemed to be the beneficial owner of these shares by virtue of his relationship to Fortress Partners Securities LLC or Fortress Partners Offshore Securities LLC, as applicable. Mr. Edens disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
Options were fully vested on date of initial grant from the issuer to FOE I and become exercisable in thirty equal monthly installments beginning on the first of each month following the month in which the options were granted.
/s/ Wesley R. Edens
2013-11-26