SEC Form 4 · accession 0001209191-15-042402
Fortress Investment Group LLC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Konawalik
Officer — Principal Accounting Officer
Period of report
May 11, 2015
Accepted (ET)
May 13, 2015 · 5:25 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 11, 2015 | C | 60,065 | $0.00 | A | 131,809 | D | |
| Class A SharesF2 | May 11, 2015 | F | 31,783 | $7.95 | D | 100,026 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Share UnitsF3,F4 | $0.00 | May 11, 2015 | C | 60,065 | D | — | — | Class A Shares | 60,065 | 116,955 | D |
Explanation of responses
- F1Acquired upon vesting of the Restricted Share Units.
- F2Shares sold solely to generate proceeds to pay the withholding tax associated with the delivery of shares upon vesting of the Restricted Share Units.
- F3See Fortress Investment Group LLC Proxy Statement for information about vesting dates.
- F4The rights attaching to Restricted Share Units generally terminate upon termination of employment. See Fortress Investment Group LLC Proxy Statement.