0001209191-14-053564.txt : 20140819
0001209191-14-053564.hdr.sgml : 20140819
20140819191716
ACCESSION NUMBER: 0001209191-14-053564
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140818
FILED AS OF DATE: 20140819
DATE AS OF CHANGE: 20140819
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: 141053560
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
2014-08-18
0
0001175483
NEWCASTLE INVESTMENT CORP
NCT
0001124465
NARDONE RANDAL A
1345 AVENUE OF THE AMERICAS, 46TH FLOOR
NEW YORK
NY
10105
0
1
0
0
Secretary
Common Stock, par value $0.01 per share
2014-08-18
4
A
0
250000
4.39
A
250000
I
RAN 2012 Trust LLC
Common Stock, par value $0.01 per share
1426906
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 LP
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)
4.39
2014-08-18
4
A
0
4000000
0.00
A
2014-08-18
Common Stock, par value $0.01 per share
4000000
4000000
I
Fortress Operating Entity I LP
On August 18, 2014, RAN 2012 Trust LLC purchased 250,000 shares of the issuer's common stock directly from the issuer in connection with a public offering of common stock by the issuer. The Nardone Family 2012 Trust is the sole member of RAN 2012 Trust LLC. Mr. Nardone acts as co-trustee to The Nardone Family 2012 Trust.
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.
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.
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.
/s/ Randal A. Nardone
2014-08-19