SEC Form 4 · accession 0001123292-15-000681
Colony Capital, Inc. · CLNY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Barrack Jr.
Officer — Executive Chairman · Director · 10% Owner
Period of report
Apr 2, 2015
Accepted (ET)
Apr 6, 2015 · 4:28 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Apr 2, 2015 | A | 112,627 | $0.00 | A | 614,056 | I | By Family Trust |
| Class B Common Stock | Apr 2, 2015 | A | 563,987 | $0.00 | A | 563,987 | I | By Family Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OP UnitsF3,F2 | — | Apr 2, 2015 | A | 20,021,530 | A | — | — | Class A Common Stock | 20,021,530 | 20,021,530 | I |
Explanation of responses
- F1The acquisition represents consideration paid by the issuer in connection with its acquisition of substantially all of its former manager's real estate and investment management business and operations.
- F2The OP Units are redeemable for shares of Class A Common Stock or cash at the discretion of the issuer. The OP Units do not have expiration dates.
- F3These units are held by limited liability companies controlled by the reporting person.