Filing Details

Accession Number:
0001181431-13-036485
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-06-24 19:26:59
Reporting Period:
2013-06-17
Filing Date:
2013-06-24
Accepted Time:
2013-06-24 19:26:59
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1175483 Newcastle Investment Corp NCT Real Estate Investment Trusts (6798) 810559116
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1124465 A Randal Nardone 1345 Avenue Of The Americas
46Th Floor
New York NY 10105
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, Par Value $0.01 Per Share Acquisiton 2013-06-17 250,000 $4.97 1,236,430 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock, Par Value $0.01 Per Share Stock Option (right to buy) Acquisiton 2013-06-17 4,025,000 $0.00 4,025,000 $4.97
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
4,025,000 2023-06-17 No 4 A Indirect
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock, Par Value $0.01 Per Share 5,000 Indirect Flying O Foundation
Common Stock, Par Value $0.01 Per Share 2,380 Indirect Olivia Nardone UTMA
Common Stock, Par Value $0.01 Per Share 1,037,091 Indirect Fortress Operating Entity I
Common Stock, Par Value $0.01 Per Share 134,800 Indirect Fortress Partners Securities LLC
Common Stock, Par Value $0.01 Per Share 56,800 Indirect Fortress Partners Offshore Securities LLC
Footnotes
  1. On June 17, 2013, Mr. Nardone purchased 250,000 shares of the issuer's common stock in connection with a public offering of common stock by the issuer directly from the underwriter at the public offering price.
  2. Mr. Nardone may be deemed to be the beneficial owner of these shares of common stock by virtue of his relationship to Fortress Operating Entity I ("FOE I"), Fortress Partners Securities LLC or Fortress Partners Offshore Securities LLC, as applicable. Mr. Nardone disclaims beneficial ownership of any securities of the issuer held by these entities except to the extent of his pecuniary interest therein.
  3. Mr. Nardone may be deemed to be the beneficial owner of these securities by virtue of his relationship to FOE I. Mr. Nardone disclaims beneficial ownership of any securities of the issuer held by FOE I except to the extent of his pecuniary interest therein.
  4. Options were fully vested on date of initial grant from the issuer to FOE I and become exercisable in thirty equal monthly installments beginning on the first of the month following the month in which the options were granted.