Filing Details
- Accession Number:
- 0001567619-14-000114
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-03-19 21:48:18
- Reporting Period:
- 2014-03-18
- Filing Date:
- 2014-03-19
- Accepted Time:
- 2014-03-19 21:48:18
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1380393 | Fortress Investment Group Llc | FIG | Investment Advice (6282) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1380615 | Michael Novogratz | 1345 Avenue Of The Americas 46Th Floor New York NY 10105 | Principal | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Shares | Disposition | 2014-03-18 | 276,065 | $8.04 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Shares | Fortress Operating Group Units | Disposition | 2014-03-18 | 6,223,935 | $8.04 | 6,223,935 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 3,336,065 | No | 4 | D | Indirect |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Class A Shares | Fortress Operating Group Units | $0.00 | 6,067,000 | 6,067,000 | Indirect | ||
| Class A Shares | Fortress Operating Group Units | $0.00 | 2,085,000 | 2,085,000 | Indirect | ||
| Class A Shares | Fortress Operating Group Units | $0.00 | 2,358,949 | 2,358,949 | Indirect | ||
| Class A Shares | Fortress Operating Group Units | $0.00 | 42,970,021 | 42,970,021 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 6,067,000 | 6,067,000 | Indirect | |
| 2,085,000 | 2,085,000 | Indirect | |
| 2,358,949 | 2,358,949 | Indirect | |
| 42,970,021 | 42,970,021 | Direct |
Footnotes
- A "Fortress Operating Group Unit" represents one limited partner interest in each of Fortress Operating Entity I LP, FOE II (New) LP, and Principal Holdings I LP. The Reporting Person has the right, exercisable from time to time, to exchange each Fortress Operating Group Unit for one Class A share of the issuer; provided, that one Class B share of the issuer (which has no economic interest in the issuer) is concurrently delivered to the issuer for cancellation. The Reporting Person owns Class B shares in the same amount as the Reporting Person's Fortress Operating Group Units. Such shares represent no economic interest in the issuer and are not separately reported herein. The Fortress Operating Group Units have no expiration date.
- The Reporting Person disclaims beneficial ownership except to the extent of his pecuniary interest therein.
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