0001209191-16-151825.txt : 20161123 0001209191-16-151825.hdr.sgml : 20161123 20161123071543 ACCESSION NUMBER: 0001209191-16-151825 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161122 FILED AS OF DATE: 20161123 DATE AS OF CHANGE: 20161123 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NEWCASTLE INVESTMENT CORP CENTRAL INDEX KEY: 0001175483 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 810559116 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: C/O FORTRESS STREET 2: 1345 AVENUE OF THE AMERICAS 46TH FL CITY: NEW YORK STATE: NY ZIP: 10105 BUSINESS PHONE: 2127986100 MAIL ADDRESS: STREET 1: C/O FORTRESS STREET 2: 1345 AVENUE OF THE AMERICAS 46TH FL CITY: NEW YORK STATE: NY ZIP: 10105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Watterson Sarah CENTRAL INDEX KEY: 0001676712 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31458 FILM NUMBER: 162014847 MAIL ADDRESS: STREET 1: 1345 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10105 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-11-22 0 0001175483 NEWCASTLE INVESTMENT CORP NCT 0001676712 Watterson Sarah 1345 AVENUE OF THE AMERICAS, 45 FL NEW YORK NY 10105 0 1 0 0 CEO & President Common Stock, par value $0.01 per share 2016-11-22 4 M 0 10725 2.32 A 17660 D Common Stock, par value $0.01 per share 2016-11-22 4 M 0 4290 2.95 A 21950 D Common Stock, par value $0.01 per share 2016-11-22 4 M 0 7507 3.23 A 29457 D Common Stock, par value $0.01 per share 2016-11-22 4 M 0 10809 3.57 A 40266 D Common Stock, par value $0.01 per share 2016-11-22 4 F 0 22060 4.55 D 18206 D Stock Option (right to buy) 2.32 2016-11-22 4 M 0 10725 0.00 D 2016-12-31 Common Stock, par value $0.01 per share 10725 0 D Stock Option (right to buy) 2.95 2016-11-22 4 M 0 4290 0.00 D 2016-12-31 Common Stock, par value $0.01 per share 4290 0 D Stock Option (right to buy) 3.23 2016-11-22 4 M 0 7507 0.00 D 2016-12-31 Common Stock, par value $0.01 per share 7507 0 D Stock Option (right to buy) 3.57 2016-11-22 4 M 0 10809 0.00 D 2016-12-31 Common Stock, par value $0.01 per share 10809 0 D No shares were sold. Reflects deemed surrender of shares to satisfy the exercise price due upon exercise of the associated options. Options were fully vested and exercisable on or before September 26, 2016. /s/ Cameron D. MacDougall, as Attorney-in-Fact 2016-11-23