SEC Form 4 · accession 0001123292-17-000016
Colony Capital, Inc. · CLNY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard B Saltzman
Officer — CEO, President and Director · Director
Period of report
Jan 2, 2017
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 A Common Stock | Jan 2, 2017 | A | 143,590 | $0.00 | A | 1,978,047 | D | |
| Class A Common Stock | Jan 2, 2017 | F | 39,395 | $20.25 | D | 1,938,652 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OP UnitsF3,F5 | — | holding | — | — | — | — | — | Class A Common Stock | 375,611 | 375,611 | D |
| OP UnitsF3,F4,F5 | — | holding | — | — | — | — | — | Class A Common Stock | 46,576 | 46,576 | I |
Explanation of responses
- F1The acquisition represents the receipt of Class A common stock granted by the Issuer for services provided by Mr. Saltzman to the Issuer.
- F2The 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.
- F3The 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.
- F4These units are held by limited liability companies controlled by Thomas J. Barrack, Jr.
- 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.