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