SEC Form 4 · accession 0001209191-16-095834
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
Feb 3, 2016
Accepted (ET)
Feb 4, 2016 · 6:34 pm EST
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 | Dec 7, 2015 | G | 5,000 | $0.00 | D | 81,576 | D | |
| Class A SharesF2 | Feb 3, 2016 | C | 32,181 | — | A | 113,757 | D | |
| Class A Shares | Feb 3, 2016 | F | 16,606 | $4.01 | D | 97,151 | D | |
| Class A SharesF3 | holding | — | — | — | 38,000 | I | 2013 Grantor Annuity Trust | |
| Class A SharesF3 | holding | — | — | — | 225,000 | I | 2015 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 UnitsF2,F4,F5 | — | Feb 3, 2016 | C | 32,181 | D | — | — | Class A Shares | 32,181 | 268,376 | D |
Explanation of responses
- F1The shares were donated by the reporting person.
- F2Each Restricted Share Unit represents a contingent right to one Class A Share.
- F3The reporting person disclaims beneficial ownership except to the extent of his pecuniary interest therein.
- F4See Issuer Proxy statement for information on vesting dates.
- F5The rights attaching to Restricted Share Units generally terminate upon termination of employment.