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