SEC Form 4 · accession 0001123292-17-000015

Colony Capital, Inc. · CLNY

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Executive Chairman · Director · 10% Owner

Period of report

Dec 30, 2016

Accepted (ET)

Jan 3, 2017 · 9:39 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 Stock^F1	Dec 30, 2016	J	1,972	$0.00	D	525,159	I	By Family Trust
Class A Common Stock^F1	Dec 30, 2016	J	1,972	$0.00	A	784,806	I	By Family Trust
Class A Common Stock	Jan 2, 2017	A	179,487	$0.00	A	964,293	I	By Family Trust
Class A Common Stock	Jan 2, 2017	F	52,253	$20.25	D	912,040	I	By Family Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
OP Units^F4,F5	—	Dec 30, 2016	G	70,000	A	—	—	Class A Common Stock	70,000	18,643,164	I

F1In connection with a charitable donation of 70,000 OP Units owned indirectly by Mr. Mark M. Hedstrom, in accordance with the terms of the Class B common stock owned by Mr. Barrack, 1,972 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.
F4The OP Units are held by limited liability companies controlled by the reporting person. The reporting person disclaims beneficial ownership of the securities disposed of except to the extent of his pecuniary interest therein.
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.