0001209191-12-032494.txt : 20120605 0001209191-12-032494.hdr.sgml : 20120605 20120605213050 ACCESSION NUMBER: 0001209191-12-032494 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120530 FILED AS OF DATE: 20120605 DATE AS OF CHANGE: 20120605 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RIIS KENNETH M CENTRAL INDEX KEY: 0001245522 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31458 FILM NUMBER: 12890604 MAIL ADDRESS: STREET 1: 1345 AVENUE OF THE AMERICA 46 FLOOR CITY: NEW YORK STATE: NY ZIP: 10105 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 4 1 c28979_4x0.xml MAIN DOCUMENT DESCRIPTION X0305 4 2012-05-30 0001175483 NEWCASTLE INVESTMENT CORP NCT 0001245522 RIIS KENNETH M C/O NEWCASTLE INVESTMENT CORP. 1345 AVENUE OF THE AMERICAS NEW YORK NY 10105 1 1 0 0 Chief Executive Officer Stock Option (right to buy) 6 2012-05-30 4 J 0 300000 0 A 2014-01-01 2021-03-29 Common Stock, par value $0.01 300000 300000 D Stock Option (right to buy) 4.55 2012-05-30 4 J 0 450000 0 A 2014-04-01 2021-09-27 Common Stock, par value $0.01 450000 450000 D The reported stock options were granted by the issuer to Fortress Operating Entity I ("FOE I"), and affiliate of the issuer's manager, on March 29, 2011 or September 27, 2011, as applicable, pursuant to the terms of the issuer's Nonqualified Stock Option and Incentive Award Plan adopted on June 6, 2002 and amended and restated effective as of June 23, 2003 and as of February 11, 2004 (the 'Plan'). FOE I assigned such options to the reporting person effective as of May 30, 2012, who assumed the options for no value. The stock options may terminate earlier upon termination of employment, as set forth in the applicable award agreement. /s/ Kenneth M. Riis 2012-06-05