SEC Form 4 · accession 0001123292-16-001936
Colony Capital, Inc. · CLNY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Richard B Saltzman
Officer — CEO, President and Director · Director
Period of report
Mar 7, 2016
Accepted (ET)
Mar 9, 2016 · 5:01 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 A Common StockF1 | Mar 7, 2016 | A | 75,000 | $16.50 | A | 1,834,457 | 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,F4 | — | holding | — | — | — | — | — | Class A Common Stock | 375,611 | 375,611 | D |
| OP UnitsF2,F3,F4 | — | holding | — | — | — | — | — | Class A Common Stock | 46,576 | 46,576 | I |
Explanation of responses
- F1The price reported represents the weighted average purchase price of the shares acquired. The actual purchase prices for the transactions on March 7, 2016 ranged from $16.48 to $16.51. The reporting person has provided to the Issuer, and hereby undertakes to provide upon request by the U.S. Securities and Exchange Commission staff or a security holder of the Issuer, full information regarding the number of shares acquired at each separate price.
- F2The amount represents the portion of the units allocated to the reporting person with respect to which 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.
- F3These units are held by limited liability companies controlled by Thomas J. Barrack, Jr.
- F4The 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.