SEC Form 4 · accession 0001209191-15-042400
Fortress Investment Group LLC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Bass
Officer — Chief Financial Officer
Period of report
May 21, 2014
Accepted (ET)
May 13, 2015 · 5:24 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001380393
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A SharesF1 | May 21, 2014 | G | 5,000 | $0.00 | D | 53,319 | D | |
| Class A SharesF2 | May 11, 2015 | C | 74,555 | $0.00 | A | 127,874 | D | |
| Class A SharesF3 | May 11, 2015 | F | 39,298 | $7.95 | D | 88,576 | D | |
| Class A SharesF4 | holding | — | — | — | 300,000 | I | By Grantor Annuity Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Share UnitsF5,F6 | $0.00 | May 11, 2015 | C | 74,555 | D | — | — | Class A Shares | 74,555 | 189,049 | D |
Explanation of responses
- F1The shares were donated by the Reporting Person.
- F2Acquired upon vesting of the Restricted Share Units.
- F3Shares sold solely to generate proceeds to pay the withholding tax associated with the delivery of shares upon vesting of the Restricted Share Units.
- F4The reporting person disclaims beneficial ownership except to the extent of his pecuniary interest therein.
- F5See Fortress Investment Group LLC Proxy Statement for information about vesting dates.
- F6The rights attaching to Restricted Share Units generally terminate upon termination of employment. See Fortress Investment Group LLC Proxy Statement.