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