0001181431-13-036485.txt : 20130624
0001181431-13-036485.hdr.sgml : 20130624
20130624192659
ACCESSION NUMBER: 0001181431-13-036485
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130617
FILED AS OF DATE: 20130624
DATE AS OF CHANGE: 20130624
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: NARDONE RANDAL A
CENTRAL INDEX KEY: 0001124465
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-31458
FILM NUMBER: 13930616
MAIL ADDRESS:
STREET 1: 1345 AVENUE OF THE AMERICAS, 46TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10105
4
1
rrd384005.xml
FORM 4
X0306
4
2013-06-17
0
0001175483
NEWCASTLE INVESTMENT CORP
NCT
0001124465
NARDONE RANDAL A
1345 AVENUE OF THE AMERICAS
46TH FLOOR
NEW YORK
NY
10105
1
0
0
0
Common Stock, par value $0.01 per share
2013-06-17
4
P
0
250000
4.97
A
1236430
D
Common Stock, par value $0.01 per share
5000
I
Flying O Foundation
Common Stock, par value $0.01 per share
2380
I
Olivia Nardone UTMA
Common Stock, par value $0.01 per share
1037091
I
Fortress Operating Entity I
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)
4.97
2013-06-17
4
A
0
4025000
0
A
2023-06-17
Common Stock, par value $0.01 per share
4025000
4025000
I
Fortress Operating Entity I
On June 17, 2013, Mr. Nardone purchased 250,000 shares of the issuer's common stock in connection with a public offering of common stock by the issuer directly from the underwriter at the public offering price.
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 ("FOE I"), Fortress Partners Securities LLC or Fortress Partners Offshore Securities LLC, as applicable. Mr. Nardone disclaims beneficial ownership of any securities of the issuer held by these entities except to the extent of his pecuniary interest therein.
Mr. Nardone may be deemed to be the beneficial owner of these securities by virtue of his relationship to FOE I. Mr. Nardone disclaims beneficial ownership of any securities of the issuer held by FOE I 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 the month following the month in which the options were granted.
Randal A. Nardone
2013-06-24