-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, UoeEKvIVaInZoQlM6/D5pkgIg5nSXjex9g19SyvBg5vGC+57HYL1RqtAoNcteBJl 9qHnHvW/BfiATir1DfN+Lw== 0001005477-07-010056.txt : 20071205 0001005477-07-010056.hdr.sgml : 20071205 20071205164056 ACCESSION NUMBER: 0001005477-07-010056 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071130 FILED AS OF DATE: 20071205 DATE AS OF CHANGE: 20071205 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: 1251 AVENUE OF THE AMERICAS 16TH FL CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 2127986100 MAIL ADDRESS: STREET 1: C/O FORTRESS STREET 2: 1251 AVENUE OF THE AMERICAS 16TH FL CITY: NEW YORK STATE: NY ZIP: 10020 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NARDONE RANDAL A CENTRAL INDEX KEY: 0001124465 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31458 FILM NUMBER: 071287088 BUSINESS ADDRESS: STREET 1: 1251 AVENUE OF THE AMERICAS 16FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 2127986100 MAIL ADDRESS: STREET 1: 1345 AVENUE OF THE AMERICAS, 46TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10105 4 1 edgar123.xml FORM 4 X0202 4 2007-11-30 0 0001175483 NEWCASTLE INVESTMENT CORP NCT 0001124465 NARDONE RANDAL A 1345 AVENUE OF THE AMERICAS NEW YORK NY 10105 0 1 0 0 Secretary Common Stock, par value $0.01 per share 2007-11-30 4 J 0 525 13.28 A 117000 I Fortress Partners Securities, LLC Common Stock, par value $0.01 per share 2007-11-30 4 J 0 1725 13.30 A 117000 I Fortress Partners Securities, LLC Common Stock, par value $0.01 per share 2007-11-30 4 J 0 1575 13.31 A 117000 I Fortress Partners Securities, LLC Common Stock, par value $0.01 per share 2007-11-30 4 J 0 1350 13.315 A 117000 I Fortress Partners Securities, LLC Common Stock, par value $0.01 per share 2007-11-30 4 J 0 1875 13.32 A 117000 I Fortress Partners Securities, LLC Common Stock, par value $0.01 per share 2007-11-30 4 J 0 1200 13.325 A 117000 I Fortress Partners Securities, LLC Common Stock, par value $0.01 per share 2007-11-30 4 J 0 825 13.33 A 117000 I Fortress Partners Securities, LLC Common Stock, par value $0.01 per share 2007-11-30 4 J 0 525 13.335 A 117000 I Fortress Partners Securities, LLC Common Stock, par value $0.01 per share 2007-11-30 4 J 0 600 13.34 A 117000 I Fortress Partners Securities, LLC Common Stock, par value $0.01 per share 2007-11-30 4 J 0 900 13.35 A 117000 I Fortress Partners Securities, LLC Common Stock, par value $0.01 per share 2007-11-30 4 J 0 150 13.36 A 117000 I Fortress Partners Securities, LLC Common Stock, par value $0.01 per share 2007-11-30 4 J 0 1650 13.40 A 117000 I Fortress Partners Securities, LLC Common Stock, par value $0.01 per share 2007-11-30 4 J 0 2250 13.42 A 117000 I Fortress Partners Securities, LLC Common Stock, par value $0.01 per share 2007-11-30 4 J 0 3675 13.43 A 117000 I Fortress Partners Securities, LLC Common Stock, par value $0.01 per share 2007-11-30 4 J 0 825 13.435 A 117000 I Fortress Partners Securities, LLC Common Stock, par value $0.01 per share 2007-11-30 4 J 0 225 13.44 A 117000 I Fortress Partners Securities, LLC Common Stock, par value $0.01 per share 2007-11-30 4 J 0 225 13.45 A 117000 I Fortress Partners Securities, LLC Common Stock, par value $0.01 per share 2007-11-30 4 J 0 750 13.46 A 117000 I Fortress Partners Securities, LLC Common Stock, par value $0.01 per share 2007-11-30 4 J 0 225 13.465 A 117000 I Fortress Partners Securities, LLC Common Stock, par value $0.01 per share 2007-11-30 4 J 0 3900 13.47 A 117000 I Fortress Partners Securities, LLC Common Stock, par value $0.01 per share 2007-11-30 4 J 0 150 13.475 A 117000 I Fortress Partners Securities, LLC Common Stock, par value $0.01 per share 2007-11-30 4 J 0 225 13.48 A 117000 I Fortress Partners Securities, LLC Common Stock, par value $0.01 per share 2007-11-30 4 J 0 900 13.49 A 117000 I Fortress Partners Securities, LLC Mr. Nardone may be deemed to be the beneficial owner of these shares of common stock by virtue of his relationship to Fortress Operating Entity I LP ("FOE I", which was formerly known as Fortress Investment Holdings LLC) and Fortress Operating Entity II LP ("FOE II," which was formerly known as Fortress Principal Investment Holdings II LLC). However, Mr. Nardone disclaims beneficial ownership of any shares of common stock of the issuer held by FOE I or FOE II except to the extent of his pecuniary interest therein. Reflects aggregate amount of shares purchased on November 30, 2007, which amounts are broken out by purchase price in Column 4 of this form and the other Form 4s filed on behalf of the reporting person on December 5, 2007. Fortress Partners Fund LP is the sole managing member of Fortress Partners Securities LLC. Fortress Partners GP LLC is the general partner of Fortress Partners Fund LP. Fortress Partners Investment Holdings IV LLC is the sole managing member of Fortress Partners GP LLC. Fortress Partners Advisors LLC ("FPA") is the investment advisor of Fortress Partners Fund LP. FIG LLC is the sole managing member of FPA. FOE I is the sole managing member of FIG LLC and FPIH IV. FIG Corp. is the general partner of FOE I. FIG Corp. is a wholly-owned subsidiary of Fortress Investment Group LLC ("FIG"). /s/ Randal A. Nardone 2007-12-05 -----END PRIVACY-ENHANCED MESSAGE-----