0001209191-14-055038.txt : 20140829 0001209191-14-055038.hdr.sgml : 20140829 20140829160521 ACCESSION NUMBER: 0001209191-14-055038 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: Tyson Alan L. CENTRAL INDEX KEY: 0001536275 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31458 FILM NUMBER: 141075410 MAIL ADDRESS: STREET 1: 1345 AVENUE OF THE AMERICAS 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 0001536275 Tyson Alan L. 1345 AVENUE OF THE AMERICAS, 46TH FLOOR NEW YORK NY 10105 1 0 0 0 Common Stock, par value $0.01 per share 2014-08-27 4 M 0 666 3.21 A 52586 D Common Stock, par value $0.01 per share 2014-08-27 4 F 0 158 13.50 D 52428 D Stock Option (right to buy) 3.21 2014-08-27 4 M 0 666 0.00 D Common Stock, par value $0.01 per share 666 0 D The reported stock options were granted by the issuer to the reporting person in December 2011, who assumed the options for no value. Non-Officer Director Stock Options are fully vested as of the grant date in accordance with the terms of the Newcastle Investment Corp. Nonqualified Stock Option and Incentive Award Plan. This report reflects the effects of the Issuer's 3-for-1 reverse stock split that occurred on August 18, 2014. /s/ Alan L. Tyson 2014-08-29