0001209191-14-055037.txt : 20140829
0001209191-14-055037.hdr.sgml : 20140829
20140829160514
ACCESSION NUMBER: 0001209191-14-055037
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140827
FILED AS OF DATE: 20140829
DATE AS OF CHANGE: 20140829
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: 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: 141075407
MAIL ADDRESS:
STREET 1: 1345 AVENUE OF THE AMERICA 46 FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10105
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2014-08-27
0
0001175483
NEWCASTLE INVESTMENT CORP
NCT
0001245522
RIIS KENNETH M
1345 AVENUE OF THE AMERICAS, 46TH FLOOR
NEW YORK
NY
10105
1
1
0
0
CEO and President
Common Stock, par value $0.01 per share
2014-08-27
4
M
0
100000
4.53
A
191666
D
Common Stock, par value $0.01 per share
2014-08-27
4
M
0
150000
2.58
A
341666
D
Common Stock, par value $0.01 per share
2014-08-27
4
F
0
62223
13.50
D
279443
D
Common Stock, par value $0.01 per share
2014-08-27
4
S
0
75000
13.48
D
204443
D
Common Stock, par value $0.01 per share
2014-08-28
4
S
0
24942
13.32
D
179501
D
Stock Option (right to buy)
4.53
2014-08-27
4
M
0
100000
0.00
D
Common Stock, par value $0.01 per share
100000
0
D
Stock Option (right to buy)
2.58
2014-08-27
4
M
0
150000
0.00
D
Common Stock, par value $0.01 per share
150000
0
D
This price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.42 to $13.49, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
This price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.30 to $13.35, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The reported stock options were granted by the issuer to Fortress Operating Entity I ("FOE I"), an affiliate of the issuer's manager, in March 2011 and September 2011, as applicable, pursuant to the terms of the issuer's Nonqualified Stock Option and Incentive Award Plan. FOE I assigned such options to the reporting person, who assumed the options for no value.
Options became exercisable in thirty equal monthly installments beginning on the first of each month following the month in which the options were granted to FOE I.
This report reflects the effects of the Issuer's 3-for-1 reverse stock split that occurred on August 18, 2014.
/s/ Kenneth M. Riis
2014-08-29