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