SEC Form 4 · accession 0001123292-16-001477
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
Dec 31, 2015
Accepted (ET)
Jan 5, 2016 · 5:03 pm 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 |
|---|---|---|---|---|---|---|---|---|
| Class B Common StockF1 | Dec 31, 2015 | J | 17,712 | $0.00 | D | 546,275 | I | By Family Trust |
| Class A Common StockF1 | Dec 31, 2015 | J | 17,712 | $0.00 | A | 631,768 | I | By Family Trust |
| Class A Common Stock | Jan 4, 2016 | A | 166,666 | $0.00 | A | 798,434 | I | By Family Trust |
| Class A Common Stock | Jan 4, 2016 | F | 34,744 | $19.48 | D | 763,690 | 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 UnitsF4,F5 | — | Dec 31, 2015 | G | 628,773 | D | — | — | Class A Common Stock | 628,773 | 19,392,757 | I |
Explanation of responses
- F1In connection with a charitable donation of 628,773 OP Units by Mr. Barrack, in accordance with the terms of the Class B common stock, 17,712 shares of Class B common stock were required to be converted to Class A common stock.
- F2The acquisition represents the receipt of Class A common stock granted by the Issuer for services provided by Mr. Barrack to the Issuer.
- F3The shares were withheld by the Issuer in satisfaction of withholding taxes incurred in connection with the vesting of certain shares of Class A common stock acquired through prior grants.
- F4These units are held by limited liability companies controlled by the reporting person.
- F5The 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.