0001571049-17-000148.txt : 20170104 0001571049-17-000148.hdr.sgml : 20170104 20170104192612 ACCESSION NUMBER: 0001571049-17-000148 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170104 DATE AS OF CHANGE: 20170104 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 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: 17508099 MAIL ADDRESS: STREET 1: C/O NORTHSTAR REALTY FINANCE CORP. STREET 2: 399 PARK AVENUE, 18TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4 1 t1700018-x6.xml OWNERSHIP DOCUMENT X0306 4 2016-12-31 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 1 1 0 0 CEO and President of NSAM Common Stock 2016-12-31 4 F 0 35433 15.15 D 273481 D Common Stock 2017-01-04 4 M 0 65266 A 338747 D Common Stock 2017-01-04 4 A 0 113029 0 A 451776 D Common Stock 2017-01-04 4 F 0 52204 16.20 D 399572 D Performance Restricted Stock Units 2017-01-04 4 M 0 65266 0 D Common Stock 65266 0 D Represents shares of Common Stock retained by NorthStar Realty Finance Corp. ("NRF") in order to satisfy its tax withholding obligations arising from the vesting of shares of Common Stock previously granted and held by the reporting person. As previously disclosed in filings with the Securities and Exchange Commission, represents performance restricted stock units ("RSUs") granted as long-term performance based incentive compensation pursuant to NorthStar Realty Finance Corp.'s Executive Incentive Bonus Plan for 2013. As a result of the spin-offs of NorthStar Asset Management Group Inc. ("NSAM") and NorthStar Realty Europe Corp. ("NRE") from NRF and as a result of the 1-for-2 reverse stock split of NRF that occurred on November 1, 2015, each RSU was adjusted to relate to one share of NRF common stock, two shares of NSAM common stock and one-third of a share of NRE common stock. The RSUs vested in full based on the achievement of the maximum performance hurdle initially established for the RSUs, which was total stockholder return in excess of 12% per year, compounded annually, for the period from January 1, 2013 through December 31, 2016. On January 4, 2017, 65,266 shares of Common Stock were issued in settlement of the RSUs described in footnote (2) above. Represents shares of Common Stock retained by NRF in order to satisfy its tax withholding obligations arising from the issuance of shares of Common Stock to the reporting person in settlement of the RSUs described in footnote (2) above and relating to shares of Common Stock granted to the reporting person in connection with long-term bonus for 2016. Reflects 1-for-2 reverse stock split of NRF that occurred on November 1, 2015. /s/ Ronald J. Lieberman, as Attorney-in-Fact for Albert Tylis 2017-01-04