0001209191-15-080090.txt : 20151113 0001209191-15-080090.hdr.sgml : 20151113 20151113173402 ACCESSION NUMBER: 0001209191-15-080090 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151111 FILED AS OF DATE: 20151113 DATE AS OF CHANGE: 20151113 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: 151230375 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 2015-11-11 0 0001175483 NEWCASTLE INVESTMENT CORP NCT 0001245522 RIIS KENNETH M 1345 AVENUE OF THE AMERICAS, 46 FL NEW YORK NY 10105 1 1 0 0 CEO and President Common Stock, par value $0.01 per share 2015-11-11 4 S 0 37556 4.6384 D 156263 D Shares sold solely to generate proceeds to pay the withholding tax associated with the delivery of shares upon exercise of stock options reported on the reporting person's form filed on November 10, 2015. This price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.62 to $4.66, 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 report reflects the issuer's 2-for-1 reverse stock split that occurred on October 22, 2014. /s/ Kenneth M. Riis 2015-11-13