SEC Form 4 · accession 0001123292-16-001970
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
Mar 10, 2016
Accepted (ET)
Mar 14, 2016 · 8:48 am 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 |
|---|---|---|---|---|---|---|---|---|
| Series A 8.5% Preferred StockF1 | Mar 10, 2016 | A | 373,784 | $22.83 | A | 373,784 | I | By Managed Investment Vehicle |
| Series B 7.5% Preferred StockF1 | Mar 10, 2016 | A | 297,841 | $19.85 | A | 297,841 | I | By Managed Investment Vehicle |
| Series C 7.125% Preferred StockF1 | Mar 10, 2016 | A | 292,093 | $19.01 | A | 292,093 | I | By Managed Investment Vehicle |
| Class A Common Stock | holding | — | — | — | 763,690 | I | By Family Trust | |
| Class B Common Stock | holding | — | — | — | 546,275 | 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 UnitsF2,F3 | — | holding | — | — | — | — | — | Class A Common Stock | 628,773 | 19,392,757 | I |
Explanation of responses
- F1Represents acquisitions by an investment vehicle between and managed by (i) an investment fund sponsored and managed by affiliates of the Company and beneficially controlled by the reporting person through the general partner of such investment fund and (ii) a wholly-owned subsidiary of Colony Capital Operating Company, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all reported shares for purposes of Section 16 or for any other purpose.
- F2These units are held by limited liability companies controlled by the reporting person.
- F3The 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.