0001209191-13-031972.txt : 20130613 0001209191-13-031972.hdr.sgml : 20130613 20130613120150 ACCESSION NUMBER: 0001209191-13-031972 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130603 FILED AS OF DATE: 20130613 DATE AS OF CHANGE: 20130613 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: Brown Jonathan CENTRAL INDEX KEY: 0001382029 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31458 FILM NUMBER: 13910594 MAIL ADDRESS: STREET 1: 1345 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10105 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2013-06-03 0 0001175483 NEWCASTLE INVESTMENT CORP NCT 0001382029 Brown Jonathan 1345 AVENUE OF THE AMERICAS, 46TH FLOOR NEW YORK NY 10105 0 1 0 0 Interim Financial Officer No securities beneficially owned. 0 D Stock Options (right to buy) 11.74 2004-01-09 2014-01-09 Common Stock, par value $0.01 per share 3300 D Stock Options (right to buy) 11.49 2004-05-25 2014-05-25 Common Stock, par value $0.01 per share 3450 D Stock Options (right to buy) 14.05 2004-11-22 2014-11-22 Common Stock, par value $0.01 per share 1625 D Stock Options (right to buy) 13.24 2005-01-12 2015-01-12 Common Stock, par value $0.01 per share 3300 D Stock Options (right to buy) 13.16 2006-11-01 2016-11-01 Common Stock, par value $0.01 per share 1700 D Stock Options (right to buy) 14.01 2007-01-23 2017-01-23 Common Stock, par value $0.01 per share 2420 D Stock Options (right to buy) 12.40 2007-04-11 2017-04-11 Common Stock, par value $0.01 per share 4560 D Each of the reported options were automatically granted by the issuer to Fortress Operating Entity I ("FOE I," which was formerly known as Fortress Investment Holdings LLC) pursuant to the terms of the issuer's Nonqualified Stock Option and Incentive Award Plan and simultaneously assigned by FOE I to the reporting person, who assumed the options for no value. Options were fully vested on date of initial grant from the issuer to FOE I and became exercisable in thirty equal monthly installments beginning on the first of the month following the month in which the options were granted (indicated in the "date exercisable" column). /s/ Jonathan Brown 2013-06-13