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