DBRG

SEC source: 0000899243-20-019555 · doc4.xml · derivative · entry 1

Steffens John · CIK 0001373619 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 251,543

Underlying: Class A Common Stock · 13,258 shares

Expires not disclosed

F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the Issuer's non-executive director compensation policy.

F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

SEC source: 0000899243-20-019556 · doc4.xml · derivative · entry 1

Fosheim Jon A · CIK 0001628418 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 222,688

Underlying: Class A Common Stock · 6,900 shares

Expires not disclosed

F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the Issuer's non-executive director compensation policy.

F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

SEC source: 0000899243-20-013112 · doc4.xml · nonDerivative · entry 3

REISS DALE ANNE · CIK 0001438802 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Marital Trust

Disclosed balance after: 0

SEC source: 0000899243-20-013112 · doc4.xml · nonDerivative · entry 2

REISS DALE ANNE · CIK 0001438802 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0000899243-20-013112 · doc4.xml · nonDerivative · entry 1

REISS DALE ANNE · CIK 0001438802 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Marital Trust

Disclosed balance after: 0

SEC source: 0000899243-20-012644 · doc4.xml · derivative · entry 1

MIKULICH RAYMOND C · CIK 0001179696 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,074

Underlying: Class A Common Stock · 81,219 shares

Expires not disclosed

F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer equity compensation payable in accordance with the Issuer's non-executive director compensation policy in connection with the reporting person's recent re-election to the Issuer's board of directors.

F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

F2 · price: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

SEC source: 0000899243-20-012639 · doc4.xml · derivative · entry 1

Schoenherr Charles W · CIK 0001497786 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,084

Underlying: Class A Common Stock · 81,219 shares

Expires not disclosed

F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer equity compensation payable in accordance with the Issuer's non-executive director compensation policy in connection with the reporting person's recent re-election to the Issuer's board of directors.

F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

F2 · price: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

SEC source: 0000899243-20-012645 · doc4.xml · nonDerivative · entry 1

REISS DALE ANNE · CIK 0001438802 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,230

F1 · kind: Represents the receipt of restricted Class A common stock granted by the Issuer to the reporting person in accordance with the Issuer's non-executive compensation policy in connection with the reporting person's recent re-election to the Issuer's board of directors. The restricted shares are scheduled to vest on May 7, 2021. The amount of restricted shares was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

SEC source: 0000899243-20-012637 · doc4.xml · nonDerivative · entry 1

PARKER GEORGE GC · CIK 0001190294 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,947

F1 · kind: Represents the receipt of restricted Class A common stock granted by the Issuer to the reporting person in accordance with the Issuer's non-executive compensation policy in connection with the reporting person's recent re-election to the Issuer's board of directors. The restricted shares are scheduled to vest on May 7, 2021. The amount of restricted shares was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

SEC source: 0000899243-20-012641 · doc4.xml · derivative · entry 2

CROCKER DOUGLAS II · CIK 0001195500 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,583

Underlying: Class A Common Stock · 40,610 shares

Expires not disclosed

F2 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer 50% of the equity compensation payable in accordance with the Issuer's non-executive director compensation policy in connection with the reporting person's recent re-election to the Issuer's board of directors.

F3 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date, multiplied by 50%.

F3 · price: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date, multiplied by 50%.

F3 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date, multiplied by 50%.

F3 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date, multiplied by 50%.

SEC source: 0000899243-20-012641 · doc4.xml · nonDerivative · entry 1

CROCKER DOUGLAS II · CIK 0001195500 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,609

F1 · kind: Represents the receipt of restricted Class A common stock granted by the Issuer to the reporting person in accordance with the Issuer's non-executive compensation policy in connection with the reporting person's recent re-election to the Issuer's board of directors. The restricted shares are scheduled to vest on May 7, 2021. The amount of restricted shares was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date, multiplied by 50%, which is the portion the reporting person elected to defer. See footnotes 2 and 3.

SEC source: 0000899243-20-012647 · doc4.xml · nonDerivative · entry 1

HATKOFF CRAIG M · CIK 0001217123 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,437

F1 · kind: Represents the receipt of restricted Class A common stock granted by the Issuer to the reporting person in accordance with the Issuer's non-executive compensation policy in connection with the reporting person's recent re-election to the Issuer's board of directors. The restricted shares are scheduled to vest on May 7, 2021. The amount of restricted shares was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

SEC source: 0000899243-20-012649 · doc4.xml · derivative · entry 1

Steffens John · CIK 0001373619 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,285

Underlying: Class A Common Stock · 81,219 shares

Expires not disclosed

F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer equity compensation payable in accordance with the Issuer's non-executive director compensation policy in connection with the reporting person's recent re-election to the Issuer's board of directors.

F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

F2 · price: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

SEC source: 0000899243-20-012642 · doc4.xml · derivative · entry 1

Somers John A. · CIK 0001472325 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,244

Underlying: Class A Common Stock · 81,219 shares

Expires not disclosed

F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer equity compensation payable in accordance with the Issuer's non-executive director compensation policy in connection with the reporting person's recent re-election to the Issuer's board of directors.

F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

F2 · price: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

SEC source: 0000899243-20-012646 · doc4.xml · derivative · entry 1

Curtin Nancy Ann · CIK 0001615735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,084

Underlying: Class A Common Stock · 81,219 shares

Expires not disclosed

F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer equity compensation payable in accordance with the Issuer's non-executive director compensation policy in connection with the reporting person's recent re-election to the Issuer's board of directors.

F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

F2 · price: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

SEC source: 0000899243-20-012634 · doc4.xml · nonDerivative · entry 1

Diefenderfer Jeannie · CIK 0001614839 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,219

F1 · kind: Represents the receipt of restricted Class A common stock granted by the Issuer to the reporting person in accordance with the Issuer's non-executive compensation policy in connection with the reporting person's recent election to the Issuer's board of directors. The restricted shares are scheduled to vest on May 7, 2021. The amount of restricted shares was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

SEC source: 0000899243-20-012648 · doc4.xml · derivative · entry 1

Fosheim Jon A · CIK 0001628418 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,788

Underlying: Class A Common Stock · 81,219 shares

Expires not disclosed

F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer equity compensation payable in accordance with the Issuer's non-executive director compensation policy in connection with the reporting person's recent re-election to the Issuer's board of directors.

F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

F2 · price: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date.

SEC source: 0000899243-20-010915 · doc4.xml · derivative · entry 1

MIKULICH RAYMOND C · CIK 0001179696 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,855

Underlying: Class A Common Stock · 2,124 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents deferred stock units ("Deferred Stock") granted pursuant to dividend equivalent rights on previously awarded Deferred Stock, 1,771 of which is scheduled to vest on May 9, 2020. Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

F1 · derivative.exercise_date: Represents deferred stock units ("Deferred Stock") granted pursuant to dividend equivalent rights on previously awarded Deferred Stock, 1,771 of which is scheduled to vest on May 9, 2020. Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

F1 · derivative.expiration_date: Represents deferred stock units ("Deferred Stock") granted pursuant to dividend equivalent rights on previously awarded Deferred Stock, 1,771 of which is scheduled to vest on May 9, 2020. Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

SEC source: 0000899243-20-010916 · doc4.xml · derivative · entry 1

Schoenherr Charles W · CIK 0001497786 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,865

Underlying: Class A Common Stock · 4,206 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents deferred stock units ("Deferred Stock") granted pursuant to dividend equivalent rights on previously awarded Deferred Stock, 1,771 of which is scheduled to vest on May 9, 2020. Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

F1 · derivative.exercise_date: Represents deferred stock units ("Deferred Stock") granted pursuant to dividend equivalent rights on previously awarded Deferred Stock, 1,771 of which is scheduled to vest on May 9, 2020. Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

F1 · derivative.expiration_date: Represents deferred stock units ("Deferred Stock") granted pursuant to dividend equivalent rights on previously awarded Deferred Stock, 1,771 of which is scheduled to vest on May 9, 2020. Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

SEC source: 0000899243-20-010918 · doc4.xml · derivative · entry 2

CROCKER DOUGLAS II · CIK 0001195500 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,973

Underlying: Class A Common Stock · 5,373 shares

Expires not disclosed

F3 · security: Represents Deferred Stock granted pursuant to dividend equivalent rights on previously awarded Deferred Stock, 1,771 of which is scheduled to vest on May 9, 2020.

F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

SEC source: 0000899243-20-010918 · doc4.xml · derivative · entry 1

CROCKER DOUGLAS II · CIK 0001195500 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,600

Underlying: Class A Common Stock · 3,555 shares

Expires not disclosed

F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the Issuer's non-executive director compensation policy.

F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

SEC source: 0000899243-20-010924 · doc4.xml · derivative · entry 2

Steffens John · CIK 0001373619 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,066

Underlying: Class A Common Stock · 7,064 shares

Expires not disclosed

F3 · security: Represents Deferred Stock granted pursuant to dividend equivalent rights on previously awarded Deferred Stock, 1,771 of which is scheduled to vest on May 9, 2020.

F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

SEC source: 0000899243-20-010924 · doc4.xml · derivative · entry 1

Steffens John · CIK 0001373619 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,002

Underlying: Class A Common Stock · 14,515 shares

Expires not disclosed

F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the Issuer's non-executive director compensation policy.

F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

SEC source: 0000899243-20-010926 · doc4.xml · derivative · entry 1

Somers John A. · CIK 0001472325 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,025

Underlying: Class A Common Stock · 6,889 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents deferred stock units ("Deferred Stock") granted pursuant to dividend equivalent rights on previously awarded Deferred Stock, 1,771 of which is scheduled to vest on May 9, 2020. Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

F1 · derivative.exercise_date: Represents deferred stock units ("Deferred Stock") granted pursuant to dividend equivalent rights on previously awarded Deferred Stock, 1,771 of which is scheduled to vest on May 9, 2020. Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

F1 · derivative.expiration_date: Represents deferred stock units ("Deferred Stock") granted pursuant to dividend equivalent rights on previously awarded Deferred Stock, 1,771 of which is scheduled to vest on May 9, 2020. Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

SEC source: 0000899243-20-010923 · doc4.xml · derivative · entry 1

Curtin Nancy Ann · CIK 0001615735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,865

Underlying: Class A Common Stock · 4,206 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents deferred stock units ("Deferred Stock") granted pursuant to dividend equivalent rights on previously awarded Deferred Stock, 1,771 of which is scheduled to vest on May 9, 2020. Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

F1 · derivative.exercise_date: Represents deferred stock units ("Deferred Stock") granted pursuant to dividend equivalent rights on previously awarded Deferred Stock, 1,771 of which is scheduled to vest on May 9, 2020. Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

F1 · derivative.expiration_date: Represents deferred stock units ("Deferred Stock") granted pursuant to dividend equivalent rights on previously awarded Deferred Stock, 1,771 of which is scheduled to vest on May 9, 2020. Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

SEC source: 0000899243-20-010921 · doc4.xml · derivative · entry 2

Fosheim Jon A · CIK 0001628418 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,569

Underlying: Class A Common Stock · 6,294 shares

Expires not disclosed

F3 · security: Represents Deferred Stock granted pursuant to dividend equivalent rights on previously awarded Deferred Stock, 1,771 of which is scheduled to vest on May 9, 2020.

F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

SEC source: 0000899243-20-010921 · doc4.xml · derivative · entry 1

Fosheim Jon A · CIK 0001628418 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,275

Underlying: Class A Common Stock · 7,554 shares

Expires not disclosed

F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the Issuer's non-executive director compensation policy.

F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.

SEC source: 0000899243-20-010002 · doc4.xml · nonDerivative · entry 1

BARRACK THOMAS JR · CIK 0001076343 · Director · Executive Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Investment Vehicle

Disclosed balance after: 152,929

F1 · ownership.nature: The securities are held by an investment vehicle between and managed by (i) an investment fund sponsored and managed by affiliates of Colony Capital, Inc. (the "Company") and beneficially controlled by the reporting person through the general partner of such investment fund and (ii) a wholly-owned subsidiary of the Company's operating subsidiary, Colony Capital Operating Company, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000899243-20-009197 · doc4.xml · nonDerivative · entry 10

BARRACK THOMAS JR · CIK 0001076343 · Director · Executive Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Investment Vehicle

Disclosed balance after: 16,024

F1 · ownership.nature: The securities are held by an investment vehicle between and managed by (i) an investment fund sponsored and managed by affiliates of Colony Capital, Inc. (the "Company") and beneficially controlled by the reporting person through the general partner of such investment fund and (ii) a wholly-owned subsidiary of the Company's operating subsidiary, Colony Capital Operating Company, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000899243-20-009197 · doc4.xml · nonDerivative · entry 9

BARRACK THOMAS JR · CIK 0001076343 · Director · Executive Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Investment Vehicle

Disclosed balance after: 79,178

F1 · ownership.nature: The securities are held by an investment vehicle between and managed by (i) an investment fund sponsored and managed by affiliates of Colony Capital, Inc. (the "Company") and beneficially controlled by the reporting person through the general partner of such investment fund and (ii) a wholly-owned subsidiary of the Company's operating subsidiary, Colony Capital Operating Company, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000899243-20-009197 · doc4.xml · nonDerivative · entry 8

BARRACK THOMAS JR · CIK 0001076343 · Director · Executive Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Investment Vehicle

Disclosed balance after: 79,988

F1 · ownership.nature: The securities are held by an investment vehicle between and managed by (i) an investment fund sponsored and managed by affiliates of Colony Capital, Inc. (the "Company") and beneficially controlled by the reporting person through the general partner of such investment fund and (ii) a wholly-owned subsidiary of the Company's operating subsidiary, Colony Capital Operating Company, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000899243-20-009197 · doc4.xml · nonDerivative · entry 7

BARRACK THOMAS JR · CIK 0001076343 · Director · Executive Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Investment Vehicle

Disclosed balance after: 15,524

F1 · ownership.nature: The securities are held by an investment vehicle between and managed by (i) an investment fund sponsored and managed by affiliates of Colony Capital, Inc. (the "Company") and beneficially controlled by the reporting person through the general partner of such investment fund and (ii) a wholly-owned subsidiary of the Company's operating subsidiary, Colony Capital Operating Company, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000899243-20-009197 · doc4.xml · nonDerivative · entry 6

BARRACK THOMAS JR · CIK 0001076343 · Director · Executive Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Investment Vehicle

Disclosed balance after: 67,218

F1 · ownership.nature: The securities are held by an investment vehicle between and managed by (i) an investment fund sponsored and managed by affiliates of Colony Capital, Inc. (the "Company") and beneficially controlled by the reporting person through the general partner of such investment fund and (ii) a wholly-owned subsidiary of the Company's operating subsidiary, Colony Capital Operating Company, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000899243-20-009197 · doc4.xml · nonDerivative · entry 5

BARRACK THOMAS JR · CIK 0001076343 · Director · Executive Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Investment Vehicle

Disclosed balance after: 29,988

F1 · ownership.nature: The securities are held by an investment vehicle between and managed by (i) an investment fund sponsored and managed by affiliates of Colony Capital, Inc. (the "Company") and beneficially controlled by the reporting person through the general partner of such investment fund and (ii) a wholly-owned subsidiary of the Company's operating subsidiary, Colony Capital Operating Company, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000899243-20-009197 · doc4.xml · nonDerivative · entry 4

BARRACK THOMAS JR · CIK 0001076343 · Director · Executive Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Investment Vehicle

Disclosed balance after: 11,924

F1 · ownership.nature: The securities are held by an investment vehicle between and managed by (i) an investment fund sponsored and managed by affiliates of Colony Capital, Inc. (the "Company") and beneficially controlled by the reporting person through the general partner of such investment fund and (ii) a wholly-owned subsidiary of the Company's operating subsidiary, Colony Capital Operating Company, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000899243-20-009197 · doc4.xml · nonDerivative · entry 3

BARRACK THOMAS JR · CIK 0001076343 · Director · Executive Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Investment Vehicle

Disclosed balance after: 40,000

F1 · ownership.nature: The securities are held by an investment vehicle between and managed by (i) an investment fund sponsored and managed by affiliates of Colony Capital, Inc. (the "Company") and beneficially controlled by the reporting person through the general partner of such investment fund and (ii) a wholly-owned subsidiary of the Company's operating subsidiary, Colony Capital Operating Company, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000899243-20-009197 · doc4.xml · nonDerivative · entry 2

BARRACK THOMAS JR · CIK 0001076343 · Director · Executive Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Investment Vehicle

Disclosed balance after: 17,184

F1 · ownership.nature: The securities are held by an investment vehicle between and managed by (i) an investment fund sponsored and managed by affiliates of Colony Capital, Inc. (the "Company") and beneficially controlled by the reporting person through the general partner of such investment fund and (ii) a wholly-owned subsidiary of the Company's operating subsidiary, Colony Capital Operating Company, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000899243-20-009197 · doc4.xml · nonDerivative · entry 1

BARRACK THOMAS JR · CIK 0001076343 · Director · Executive Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Investment Vehicle

Disclosed balance after: 163,143

F1 · ownership.nature: The securities are held by an investment vehicle between and managed by (i) an investment fund sponsored and managed by affiliates of Colony Capital, Inc. (the "Company") and beneficially controlled by the reporting person through the general partner of such investment fund and (ii) a wholly-owned subsidiary of the Company's operating subsidiary, Colony Capital Operating Company, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000899243-20-008859 · doc4.xml · nonDerivative · entry 4

BARRACK THOMAS JR · CIK 0001076343 · Director · Executive Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Trust

Disclosed balance after: 4,309,841

F4 · kind: The shares were withheld by the Issuer in satisfaction of withholding taxes incurred in connection with the restricted shares of Class A common stock acquired as described in Footnote (3) above, such that the net number of shares granted to the reporting person by the Issuer was 1,383,266.

SEC source: 0000899243-20-008859 · doc4.xml · nonDerivative · entry 3

BARRACK THOMAS JR · CIK 0001076343 · Director · Executive Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Trust

Disclosed balance after: 5,437,600

F3 · shares: Represents shares of restricted Class A Common Stock granted to the reporting person by the Issuer in connection with the payment (in lieu of cash) for the reporting person's 2019 annual cash bonus, which are generally subject to a three year lock-up.

SEC source: 0000899243-20-008859 · doc4.xml · nonDerivative · entry 2

BARRACK THOMAS JR · CIK 0001076343 · Director · Executive Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Trust

Disclosed balance after: 2,926,575

F2 · shares: Represents shares of restricted Class A Common Stock granted to the reporting person by the Issuer, which vest annually in three equal installments on March 15, 2021, March 15, 2022 and March 15, 2023.

SEC source: 0000899243-20-008859 · doc4.xml · nonDerivative · entry 1

BARRACK THOMAS JR · CIK 0001076343 · Director · Executive Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Trust

Disclosed balance after: 1,938,921

F1 · kind: The 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.

SEC source: 0000899243-20-008849 · doc4.xml · nonDerivative · entry 1

Tangen Darren J. · CIK 0001472235 · President

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Trust

Disclosed balance after: 1,317,787

F1 · shares: Represents shares of restricted Class A Common Stock granted to the reporting person by the Issuer, which vest annually in three equal installments on March 15, 2021, March 15, 2022 and March 15, 2023.

SEC source: 0000899243-20-008846 · doc4.xml · nonDerivative · entry 1

Redington Neale · CIK 0001637687 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 407,405

F1 · shares: Represents shares of restricted Class A Common Stock granted to the reporting person by the Issuer, which vest annually in three equal installments on March 15, 2021, March 15, 2022 and March 15, 2023.

SEC source: 0000899243-20-008853 · doc4.xml · nonDerivative · entry 2

Hedstrom Mark M. · CIK 0001472236 · CFO & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 697,727

F2 · shares: Represents shares of restricted Class A Common Stock granted to the reporting person by the Issuer, which vest annually in three equal installments on March 15, 2021, March 15, 2022 and March 15, 2023.

SEC source: 0000899243-20-008853 · doc4.xml · nonDerivative · entry 1

Hedstrom Mark M. · CIK 0001472236 · CFO & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 404,517

F1 · kind: The 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.

SEC source: 0000899243-20-008858 · doc4.xml · nonDerivative · entry 2

Sanders Ronald M. · CIK 0001472238 · Exec. VP - CLO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 770,821

F2 · shares: Represents shares of restricted Class A Common Stock granted to the reporting person by the Issuer, which vest annually in three equal installments on March 15, 2021, March 15, 2022 and March 15, 2023.

SEC source: 0000899243-20-008858 · doc4.xml · nonDerivative · entry 1

Sanders Ronald M. · CIK 0001472238 · Exec. VP - CLO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 548,599

F1 · kind: The 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.

SEC source: 0000899243-20-007251 · doc4.xml · nonDerivative · entry 2

BARRACK THOMAS JR · CIK 0001076343 · Director · Executive Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Investment Vehicle

Disclosed balance after: 158,793

F1 · ownership.nature: The securities are held by an investment vehicle between and managed by (i) an investment fund sponsored and managed by affiliates of Colony Capital, Inc. (the "Company") and beneficially controlled by the reporting person through the general partner of such investment fund and (ii) a wholly-owned subsidiary of the Company's operating subsidiary, Colony Capital Operating Company, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000899243-20-007251 · doc4.xml · nonDerivative · entry 1

BARRACK THOMAS JR · CIK 0001076343 · Director · Executive Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Investment Vehicle

Disclosed balance after: 175,044

F1 · ownership.nature: The securities are held by an investment vehicle between and managed by (i) an investment fund sponsored and managed by affiliates of Colony Capital, Inc. (the "Company") and beneficially controlled by the reporting person through the general partner of such investment fund and (ii) a wholly-owned subsidiary of the Company's operating subsidiary, Colony Capital Operating Company, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all reported shares for purposes of Section 16 or for any other purpose.