0001179110-13-008196.txt : 20130510 0001179110-13-008196.hdr.sgml : 20130510 20130510165836 ACCESSION NUMBER: 0001179110-13-008196 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130508 FILED AS OF DATE: 20130510 DATE AS OF CHANGE: 20130510 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Tylis Albert CENTRAL INDEX KEY: 0001465572 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32330 FILM NUMBER: 13834301 MAIL ADDRESS: STREET 1: 399 PARK AVENUE STREET 2: 18TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NORTHSTAR REALTY FINANCE CORP. CENTRAL INDEX KEY: 0001273801 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 399 PARK AVENUE, STREET 2: 18TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-547-2640 MAIL ADDRESS: STREET 1: 399 PARK AVENUE, STREET 2: 18TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: NORTHSTAR REALTY DATE OF NAME CHANGE: 20031218 4 1 edgar.xml FORM 4 - X0306 4 2013-05-08 0 0001273801 NORTHSTAR REALTY FINANCE CORP. NRF 0001465572 Tylis Albert C/O NORTHSTAR REALTY FINANCE CORP. 399 PARK AVENUE, 18TH FLOOR NEW YORK NY 10022 0 1 0 0 President Common Stock 2013-05-08 4 C 0 399635 A 412363 D Common Stock 2013-05-08 4 S 0 412363 10.0394 D 0 D LTIP Units 2013-05-08 4 G 0 2000 0 D Common Stock 2000 1479656 D LTIP Units 2013-05-08 4 C 0 399635 D Common Stock 399635 1080021 D Mr. Tylis converted 399,635 units of limited partnership interest ("LTIP Units") structured as profits interests in NorthStar Realty Finance Limited Partnership ("NRFLP"), a majority-owned subsidiary and the operating partnership of NorthStar Realty Finance Corp. ("the Company"), into 399,635 common units of partnership interests in NRFLP ("OP Units"), which were redeemed for 399,635 shares of common stock ("Common Stock"), par value $0.01 per share, of the Company. The price included in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $9.94 to $10.19, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Conditioned on minimum allocations to the capital accounts of the LTIP Unit for federal income tax purposes, each LTIP Unit may be converted, at the election of the holder, into one OP Unit. Each of the OP Units underlying these LTIP Units is redeemable for: (1) cash equal to the then fair market value of one (1) share of Common Stock or (2) at the option of the Company in its capacity as general partner of NRFLP, one (1) share of Common Stock. The rights to convert LTIP Units into OP Units and redeem OP Units do not have expiration dates. Represents bona fide charitable gift of LTIP Units. Does not include 743,967 performance based restricted stock units held by the reporting person that may be settled in LTIP Units, if available and earned. /s/ Ronald J. Lieberman, as Attorney-in-Fact for Albert Tylis 2013-05-10