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
- 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.
- 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.
- 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.
- 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.