SEC Form 4 · accession 0001123292-15-000098
Colony Capital, Inc. · CLNY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Barrack Jr.
Officer — Executive Chairman · Director
Period of report
Jan 6, 2015
Accepted (ET)
Jan 8, 2015 · 10:33 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001467076
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 6, 2015 | J | 618,081 | $0.00 | A | 639,200 | I | By Colony Financial Manager, LLC |
| Common Stock | Jan 7, 2015 | J | 639,200 | $0.00 | D | 0 | I | By Colony Financial Manager, LLC |
| Common Stock | Jan 7, 2015 | J | 115,238 | $0.00 | A | 518,708 | I | By Family Trust |
| Common StockF4,F5 | Jan 7, 2015 | S | 17,279 | $24.2639 | D | 501,429 | I | By Family Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Colony Financial Manager, LLC (the "Manager") is the direct owner of these reported securities. Colony Capital, LLC ("Colony Capital") is the managing member of the Manager, and Thomas J. Barrack, Jr. ("Mr. Barrack") is the sole managing member of Colony Capital. Accordingly, Mr. Barrack may be deemed to beneficially own all of the reported securities. This filing shall not be deemed an admission that Mr. Barrack is the beneficial owner of any securities beneficially owned by the Manager except to the extent of his pecuniary interest therein. The current 618,081 reported securities acquired represent common stock granted by the Company pursuant to the 2014 Equity Incentive Plan, for services provided by or on behalf of the Manager for the benefit of the Company.
- F2The Manager is the direct owner of the 639,200 securities the disposition of which this form is reporting. The Manager distributed 639,200 shares to certain persons for services provided by each such person to the Manager for the benefit of the Manager and the Company.
- F3The acquisition represents the receipt of common stock granted by the Manager to the Family Trust designated by Mr. Barrack as recipient of such stock for services provided by Mr. Barrack to the Manager for the benefit of the Manager and the Company.
- F4The disposition represents the sale of common stock to fund the payment of income taxes incurred by the reporting person in connection with the vesting of certain shares of common stock.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.11 to $24.48, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.