SEC Form 4 · accession 0001123292-15-000683
Colony Capital, Inc. · CLNY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald M. Sanders
Officer — Exec. Director-CLO & Secretary
Period of report
Apr 2, 2015
Accepted (ET)
Apr 6, 2015 · 4:29 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 | holding | — | — | — | 90,249 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OP UnitsF2,F1 | — | Apr 2, 2015 | A | 217,439 | A | — | — | Class A Common Stock | 217,439 | 217,439 | I |
Explanation of responses
- F1The OP Units are redeemable for shares of Class A Common Stock or cash at the discretion of the issuer.
- F2These units are held by limited liability companies controlled by Thomas J. Barrack, Jr. and were acquired in connection with the issuer's acquisition of substantially all of its former manager's real estate and investment management business and operations. The amount represents the portion of the units allocated to the reporting person with respect to which, subject to certain vesting and other conditions, the reporting person has the right to require from time to time the redemption thereof and distribution to the reporting person of the common shares or cash received upon such redemption. The OP Units do not have expiration dates.