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Filing Details

Accession Number:: 0000899243-19-008210
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-03-18 19:08:35
Reporting Period:: 2019-03-14

Accepted Time:: 2019-03-18 19:08:35
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1679688	Colony Capital Inc.	CLNY	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1076343	Jr Thomas Barrack	C/O Colony Capital, Inc., 515 S. Flower St., 44Th Floor Los Angeles CA 90071	Executive Chairman & Ceo	Yes	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
7.125% Series H Preferred Stock	Disposition	2019-03-14	100,000	$21.80	150,000	No	4	S	Indirect	By Managed Investment Vehicle
Class A Common Stock	Disposition	2019-03-15	48,293	$5.36	1,547,759	No	4	F	Indirect	By Family Trust
Class A Common Stock	Acquisiton	2019-03-15	549,452	$0.00	2,097,211	No	4	A	Indirect	By Family Trust

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	By Managed Investment Vehicle
No	4	F	Indirect	By Family Trust
No	4	A	Indirect	By Family Trust

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Class A Common Stock	Restricted Stock Units	Acquisiton	2019-03-15	1,315,789	$0.00	1,315,789	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
1,315,789			No	4	A	Direct

Footnotes

The securities are held by an investment vehicle between and managed by (i) an investment fund sponsored and managed by affiliates of Colony Capital, Inc. (the "Company") and beneficially controlled by the reporting person through the general partner of such investment fund and (ii) a wholly-owned subsidiary of the Company's operating subsidiary, Colony Capital Operating Company, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all reported shares for purposes of Section 16 or for any other purpose.
The shares were withheld by the Company in satisfaction of withholding taxes incurred in connection with the vesting of certain shares of Class A common stock acquired through prior grants.
Represents shares of restricted Class A Common Stock granted to the reporting person by the Company, which vest annually in three equal installments on March 16, 2020, March 15, 2021 and March 15, 2022.
Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Company's Class A common stock.
Represents a target number of RSUs that may vest based on the achievement of the 30-day average trading price of the Company's Class A common stock (the "Stock Price") from the grant date through March 15, 2022 (the "Performance Cycle").
Subject to continued service, the RSUs will vest (i) at 25% of the target if the Stock Price at any time during the first year of the performance cycle is equal to or greater than $8.00, (ii) at 50% of the target if the Stock Price at any time during the first two years of the performance cycle is equal to or greater than $10.00, and (iii) at 100% of the target if the Stock Price at any time during the performance cycle is equal to or greater than $11.10. If earned, each RSU will be settled in shares of the Company's Class A common stock and in no event will the number of RSUs that vest exceed the target number of RSUs. The RSUs will expire and cease to exist following settlement.