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RITM

Rithm Capital Corp.

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3845
SEC CIK
0001556593
Parsed reports
206

Last 12 months

Inside the activity.

0 purchase rows · 6 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202502
Dec 202500
Jan 202600
Feb 202601
Mar 202600
Apr 202600
May 202602
Jun 202600
Jul 202600
Aug 202601
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
January 04, 2021 Filed Jan 5, 2021 08:09 UTC GrantCommon Stock 10,549 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-000628 · doc4.xml · nonDerivative · entry 1

Tyson Alan L. · CIK 0001536275 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,707

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $9.48 on January 4, 2021.

Read SEC document
January 04, 2021 Filed Jan 5, 2021 13:02 UTC GrantCommon Stock 10,549 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-000625 · doc4.xml · nonDerivative · entry 1

Sloves Andrew · CIK 0001679934 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,715

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $9.48 on January 4, 2021.

Read SEC document
December 22, 2020 Filed Feb 12, 2021 21:15 UTC
Nierenberg MichaelDirector · Chairman, CEO & President
GiftCommon Stock 301,548 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-010122 · doc5.xml · nonDerivative · entry 5

Nierenberg Michael · CIK 0001591719 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust for Son

Disclosed balance after: 301,548

F1 · price: Mr. Nierenberg transferred these shares of common stock as gifts to trusts established for the benefit of his children for estate planning purposes.

Read SEC document
December 22, 2020 Filed Feb 12, 2021 21:15 UTC
Nierenberg MichaelDirector · Chairman, CEO & President
GiftCommon Stock 301,548 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-010122 · doc5.xml · nonDerivative · entry 4

Nierenberg Michael · CIK 0001591719 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust for Daughter

Disclosed balance after: 301,548

F1 · price: Mr. Nierenberg transferred these shares of common stock as gifts to trusts established for the benefit of his children for estate planning purposes.

Read SEC document
December 22, 2020 Filed Feb 12, 2021 21:15 UTC
Nierenberg MichaelDirector · Chairman, CEO & President
GiftCommon Stock 603,096 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-010122 · doc5.xml · nonDerivative · entry 3

Nierenberg Michael · CIK 0001591719 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 257,028

F1 · price: Mr. Nierenberg transferred these shares of common stock as gifts to trusts established for the benefit of his children for estate planning purposes.

Read SEC document
October 28, 2020 Filed Jan 22, 2021 21:22 UTC OtherCommon Stock 660 $7.47 $4,930.20
Disclosure

SEC source: 0001209191-21-004865 · doc5.xml · nonDerivative · entry 3

LENEHAN PAMELA F · CIK 0001202481 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,062

F1 · balance_after: Amount includes shares acquired by the Reporting Person after Issuer's fiscal year end.

Read SEC document
July 29, 2020 Filed Jan 22, 2021 21:22 UTC OtherCommon Stock 402 $8.07 $3,244.14
Disclosure

SEC source: 0001209191-21-004865 · doc5.xml · nonDerivative · entry 2

LENEHAN PAMELA F · CIK 0001202481 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,402

F1 · balance_after: Amount includes shares acquired by the Reporting Person after Issuer's fiscal year end.

Read SEC document
July 27, 2020 Filed Jul 28, 2020 08:44 UTC PurchaseCommon Stock 10,000 $7.72 $77,184.00
Disclosure

SEC source: 0001209191-20-043801 · doc4.xml · nonDerivative · entry 1

Tyson Alan L. · CIK 0001536275 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,158

F1 · price: The shares were purchased in multiple transactions and the price reported is a weighted average. The purchase price ranged from $7.715 to $7.719. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Read SEC document
June 19, 2020 Filed Jun 23, 2020 16:43 UTC GrantCommon Stock 14,766 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-038490 · doc4.xml · nonDerivative · entry 1

JACOBS DOUGLAS L · CIK 0001195064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,638

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $7.45 on June 19, 2020.

Read SEC document
June 19, 2020 Filed Jun 23, 2020 20:44 UTC GrantCommon Stock 13,423 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-038492 · doc4.xml · nonDerivative · entry 1

LENEHAN PAMELA F · CIK 0001202481 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,288

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $7.45 on June 19, 2020.

Read SEC document
June 19, 2020 Filed Jun 23, 2020 20:41 UTC GrantCommon Stock 13,423 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-038486 · doc4.xml · nonDerivative · entry 1

Finnerty Kevin J · CIK 0001335440 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,031

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $7.45 on June 19, 2020.

Read SEC document
June 19, 2020 Filed Jun 23, 2020 16:46 UTC GrantCommon Stock 13,423 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-038493 · doc4.xml · nonDerivative · entry 1

MCGINNIS ROBERT · CIK 0001525863 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,874

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $7.45 on June 19, 2020.

Read SEC document
June 19, 2020 Filed Jun 23, 2020 16:51 UTC GrantCommon Stock 13,423 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-038501 · doc4.xml · nonDerivative · entry 1

Tyson Alan L. · CIK 0001536275 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,158

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $7.45 on June 19, 2020.

Read SEC document
June 19, 2020 Filed Jun 23, 2020 20:49 UTC GrantCommon Stock 13,423 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-038498 · doc4.xml · nonDerivative · entry 1

Sloves Andrew · CIK 0001679934 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,166

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $7.45 on June 19, 2020.

Read SEC document
June 19, 2020 Filed Jun 23, 2020 20:47 UTC GrantCommon Stock 13,423 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-038496 · doc4.xml · nonDerivative · entry 1

Saltzman David · CIK 0001574248 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,364

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $7.45 on June 19, 2020.

Read SEC document
May 29, 2020 Filed Jun 2, 2020 21:50 UTC PurchaseCommon Stock 1,200 $7.29 $8,746.56
Disclosure

SEC source: 0001209191-20-033678 · doc4.xml · nonDerivative · entry 3

Sloves Andrew · CIK 0001679934 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Custodian for Son

Disclosed balance after: 2,300

Read SEC document
May 29, 2020 Filed Jun 2, 2020 21:50 UTC PurchaseCommon Stock 1,200 $7.28 $8,732.64
Disclosure

SEC source: 0001209191-20-033678 · doc4.xml · nonDerivative · entry 2

Sloves Andrew · CIK 0001679934 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Custodian for Daughter

Disclosed balance after: 3,100

Read SEC document
May 29, 2020 Filed Jun 2, 2020 21:50 UTC PurchaseCommon Stock 1,200 $7.31 $8,772.96
Disclosure

SEC source: 0001209191-20-033678 · doc4.xml · nonDerivative · entry 1

Sloves Andrew · CIK 0001679934 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Custodian for Daughter

Disclosed balance after: 3,700

Read SEC document
May 13, 2020 Filed Jan 22, 2021 21:22 UTC OtherCommon Stock 163 $5.78 $942.14
Disclosure

SEC source: 0001209191-21-004865 · doc5.xml · nonDerivative · entry 1

LENEHAN PAMELA F · CIK 0001202481 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,000

F1 · balance_after: Amount includes shares acquired by the Reporting Person after Issuer's fiscal year end.

Read SEC document
March 19, 2020 Filed Mar 19, 2020 20:25 UTC PurchaseCommon Stock 10,000 $6.03 $60,273.00
Disclosure

SEC source: 0001209191-20-020270 · doc4.xml · nonDerivative · entry 1

Sloves Andrew · CIK 0001679934 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,743

F1 · price: The shares were purchased in multiple transactions and the price reported is a weighted average. The purchase price ranged from $6.025 to $6.03. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Read SEC document
March 19, 2020 Filed Mar 20, 2020 13:15 UTC PurchaseCommon Stock 10,000 $5.53 $55,310.00
Disclosure

SEC source: 0001209191-20-020375 · doc4.xml · nonDerivative · entry 1

LENEHAN PAMELA F · CIK 0001202481 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,865

Read SEC document
March 18, 2020 Filed Mar 18, 2020 16:21 UTC PurchaseCommon Stock 10,000 $5.18 $51,800.00
Disclosure

SEC source: 0001209191-20-019993 · doc4.xml · nonDerivative · entry 1

MCGINNIS ROBERT · CIK 0001525863 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,451

Read SEC document
March 18, 2020 Filed Mar 18, 2020 16:23 UTC PurchaseCommon Stock 10,000 $5.01 $50,100.00
Disclosure

SEC source: 0001209191-20-019995 · doc4.xml · nonDerivative · entry 1

Tyson Alan L. · CIK 0001536275 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,735

Read SEC document
March 18, 2020 Filed Mar 18, 2020 20:18 UTC
SANTORO NICOLA JRCFO, CAO and Treasurer
PurchaseCommon Stock 50,000 $5.84 $292,000.00
Disclosure

SEC source: 0001209191-20-019991 · doc4.xml · nonDerivative · entry 1

SANTORO NICOLA JR · CIK 0001571610 · CFO, CAO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Read SEC document
March 18, 2020 Filed Mar 18, 2020 20:20 UTC PurchaseCommon Stock 10,000 $5.83 $58,300.00
Disclosure

SEC source: 0001209191-20-019992 · doc4.xml · nonDerivative · entry 1

Sloves Andrew · CIK 0001679934 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,743

Read SEC document
March 18, 2020 Filed Mar 19, 2020 10:38 UTC PurchaseSeries A Preferred Shares 1,000 $11.00 $11,000.00
Disclosure

SEC source: 0001209191-20-020160 · doc4.xml · nonDerivative · entry 1

Sloves Andrew · CIK 0001679934 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:35 UTC
Nierenberg MichaelDirector · Chairman, CEO & President
GrantStock Option (right to buy) · Derivative 26,000 $0.00 Strike: $15.14 $0.00
Disclosure

SEC source: 0001209191-20-017277 · doc4.xml · derivative · entry 5

Nierenberg Michael · CIK 0001591719 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,000

Underlying: Common Stock, par value $0.01 per share · 26,000 shares

Expires 2029-08-21

F1 · derivative.exercise_date: Tandem awards correspond on a one-to-one basis with options granted to FIG LLC, the Company's manager (or an affiliate of the Company's manager), such that exercise by an employee of the tandem award would result in the corresponding option held by the manager being cancelled. Upon the grant of options to the manager (or an affiliate), such options are fully vested and become exercisable over a 30-month period (the "Total Exercisability Period") in monthly installments beginning on the first of each month following the month in which the options were granted. (Continued in Footnote 2)

F2 · derivative.exercise_date: When tandem awards are granted with respect to manager options, the manager options become exercisable in monthly installments over a portion of the Total Exercisability Period equal to the product of (i) the ratio of manager options not subject to corresponding tandem options to the total number of manager options (including manager options underlying such tandem awards subject to corresponding tandem options) multiplied by (ii) 30 (such period, the "Manager Exercisability Period"). Following the Manager Exercisability Period, the tandem awards vest in monthly installments on the first of each month over the remainder of the Total Exercisability Period and become exercisable only at the end of the Total Exercisability Period.

F3 · derivative.expiration_date: Represents the expiration date of the related manager option. In general, the expiration date of the tandem award occurs prior to the expiration date of the underlying option.

F4 · derivative.underlying: Tandem awards will be settled in an amount of cash equal to the excess of the fair market value of a share of our common stock on the date of exercise over the fair market value on the date of grant, unless advance approval is given by the Board of Directors or an officer of the Company, as applicable, to settle the tandem awards in shares.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:35 UTC
Nierenberg MichaelDirector · Chairman, CEO & President
GrantStock Option (right to buy) · Derivative 200,000 $0.00 Strike: $15.14 $0.00
Disclosure

SEC source: 0001209191-20-017277 · doc4.xml · derivative · entry 4

Nierenberg Michael · CIK 0001591719 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock, par value $0.01 per share · 200,000 shares

Expires 2029-08-15

F1 · derivative.exercise_date: Tandem awards correspond on a one-to-one basis with options granted to FIG LLC, the Company's manager (or an affiliate of the Company's manager), such that exercise by an employee of the tandem award would result in the corresponding option held by the manager being cancelled. Upon the grant of options to the manager (or an affiliate), such options are fully vested and become exercisable over a 30-month period (the "Total Exercisability Period") in monthly installments beginning on the first of each month following the month in which the options were granted. (Continued in Footnote 2)

F2 · derivative.exercise_date: When tandem awards are granted with respect to manager options, the manager options become exercisable in monthly installments over a portion of the Total Exercisability Period equal to the product of (i) the ratio of manager options not subject to corresponding tandem options to the total number of manager options (including manager options underlying such tandem awards subject to corresponding tandem options) multiplied by (ii) 30 (such period, the "Manager Exercisability Period"). Following the Manager Exercisability Period, the tandem awards vest in monthly installments on the first of each month over the remainder of the Total Exercisability Period and become exercisable only at the end of the Total Exercisability Period.

F3 · derivative.expiration_date: Represents the expiration date of the related manager option. In general, the expiration date of the tandem award occurs prior to the expiration date of the underlying option.

F4 · derivative.underlying: Tandem awards will be settled in an amount of cash equal to the excess of the fair market value of a share of our common stock on the date of exercise over the fair market value on the date of grant, unless advance approval is given by the Board of Directors or an officer of the Company, as applicable, to settle the tandem awards in shares.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:35 UTC
Nierenberg MichaelDirector · Chairman, CEO & President
GrantStock Option (right to buy) · Derivative 124,200 $0.00 Strike: $15.51 $0.00
Disclosure

SEC source: 0001209191-20-017277 · doc4.xml · derivative · entry 3

Nierenberg Michael · CIK 0001591719 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,200

Underlying: Common Stock, par value $0.01 per share · 124,200 shares

Expires 2029-07-02

F1 · derivative.exercise_date: Tandem awards correspond on a one-to-one basis with options granted to FIG LLC, the Company's manager (or an affiliate of the Company's manager), such that exercise by an employee of the tandem award would result in the corresponding option held by the manager being cancelled. Upon the grant of options to the manager (or an affiliate), such options are fully vested and become exercisable over a 30-month period (the "Total Exercisability Period") in monthly installments beginning on the first of each month following the month in which the options were granted. (Continued in Footnote 2)

F2 · derivative.exercise_date: When tandem awards are granted with respect to manager options, the manager options become exercisable in monthly installments over a portion of the Total Exercisability Period equal to the product of (i) the ratio of manager options not subject to corresponding tandem options to the total number of manager options (including manager options underlying such tandem awards subject to corresponding tandem options) multiplied by (ii) 30 (such period, the "Manager Exercisability Period"). Following the Manager Exercisability Period, the tandem awards vest in monthly installments on the first of each month over the remainder of the Total Exercisability Period and become exercisable only at the end of the Total Exercisability Period.

F3 · derivative.expiration_date: Represents the expiration date of the related manager option. In general, the expiration date of the tandem award occurs prior to the expiration date of the underlying option.

F4 · derivative.underlying: Tandem awards will be settled in an amount of cash equal to the excess of the fair market value of a share of our common stock on the date of exercise over the fair market value on the date of grant, unless advance approval is given by the Board of Directors or an officer of the Company, as applicable, to settle the tandem awards in shares.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:35 UTC
Nierenberg MichaelDirector · Chairman, CEO & President
GrantStock Option (right to buy) · Derivative 120,000 $0.00 Strike: $16.37 $0.00
Disclosure

SEC source: 0001209191-20-017277 · doc4.xml · derivative · entry 2

Nierenberg Michael · CIK 0001591719 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock, par value $0.01 per share · 120,000 shares

Expires 2029-02-28

F1 · derivative.exercise_date: Tandem awards correspond on a one-to-one basis with options granted to FIG LLC, the Company's manager (or an affiliate of the Company's manager), such that exercise by an employee of the tandem award would result in the corresponding option held by the manager being cancelled. Upon the grant of options to the manager (or an affiliate), such options are fully vested and become exercisable over a 30-month period (the "Total Exercisability Period") in monthly installments beginning on the first of each month following the month in which the options were granted. (Continued in Footnote 2)

F2 · derivative.exercise_date: When tandem awards are granted with respect to manager options, the manager options become exercisable in monthly installments over a portion of the Total Exercisability Period equal to the product of (i) the ratio of manager options not subject to corresponding tandem options to the total number of manager options (including manager options underlying such tandem awards subject to corresponding tandem options) multiplied by (ii) 30 (such period, the "Manager Exercisability Period"). Following the Manager Exercisability Period, the tandem awards vest in monthly installments on the first of each month over the remainder of the Total Exercisability Period and become exercisable only at the end of the Total Exercisability Period.

F3 · derivative.expiration_date: Represents the expiration date of the related manager option. In general, the expiration date of the tandem award occurs prior to the expiration date of the underlying option.

F4 · derivative.underlying: Tandem awards will be settled in an amount of cash equal to the excess of the fair market value of a share of our common stock on the date of exercise over the fair market value on the date of grant, unless advance approval is given by the Board of Directors or an officer of the Company, as applicable, to settle the tandem awards in shares.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:35 UTC
Nierenberg MichaelDirector · Chairman, CEO & President
GrantStock Option (right to buy) · Derivative 800,000 $0.00 Strike: $16.37 $0.00
Disclosure

SEC source: 0001209191-20-017277 · doc4.xml · derivative · entry 1

Nierenberg Michael · CIK 0001591719 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 800,000

Underlying: Common Stock, par value $0.01 per share · 800,000 shares

Expires 2029-02-22

F1 · derivative.exercise_date: Tandem awards correspond on a one-to-one basis with options granted to FIG LLC, the Company's manager (or an affiliate of the Company's manager), such that exercise by an employee of the tandem award would result in the corresponding option held by the manager being cancelled. Upon the grant of options to the manager (or an affiliate), such options are fully vested and become exercisable over a 30-month period (the "Total Exercisability Period") in monthly installments beginning on the first of each month following the month in which the options were granted. (Continued in Footnote 2)

F2 · derivative.exercise_date: When tandem awards are granted with respect to manager options, the manager options become exercisable in monthly installments over a portion of the Total Exercisability Period equal to the product of (i) the ratio of manager options not subject to corresponding tandem options to the total number of manager options (including manager options underlying such tandem awards subject to corresponding tandem options) multiplied by (ii) 30 (such period, the "Manager Exercisability Period"). Following the Manager Exercisability Period, the tandem awards vest in monthly installments on the first of each month over the remainder of the Total Exercisability Period and become exercisable only at the end of the Total Exercisability Period.

F3 · derivative.expiration_date: Represents the expiration date of the related manager option. In general, the expiration date of the tandem award occurs prior to the expiration date of the underlying option.

F4 · derivative.underlying: Tandem awards will be settled in an amount of cash equal to the excess of the fair market value of a share of our common stock on the date of exercise over the fair market value on the date of grant, unless advance approval is given by the Board of Directors or an officer of the Company, as applicable, to settle the tandem awards in shares.

Read SEC document
January 23, 2020 Filed Feb 12, 2021 21:15 UTC
Nierenberg MichaelDirector · Chairman, CEO & President
GiftCommon Stock 56,287 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-010122 · doc5.xml · nonDerivative · entry 2

Nierenberg Michael · CIK 0001591719 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust for Children

Disclosed balance after: 56,287

F1 · price: Mr. Nierenberg transferred these shares of common stock as gifts to trusts established for the benefit of his children for estate planning purposes.

Read SEC document
January 23, 2020 Filed Feb 12, 2021 21:15 UTC
Nierenberg MichaelDirector · Chairman, CEO & President
GiftCommon Stock 56,287 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-010122 · doc5.xml · nonDerivative · entry 1

Nierenberg Michael · CIK 0001591719 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Indirect · By 2018 GRAT

Disclosed balance after: 0

F1 · price: Mr. Nierenberg transferred these shares of common stock as gifts to trusts established for the benefit of his children for estate planning purposes.

Read SEC document
January 02, 2020 Filed Jan 6, 2020 12:51 UTC GrantCommon Stock 6,208 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001481 · doc4.xml · nonDerivative · entry 1

LENEHAN PAMELA F · CIK 0001202481 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,865

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $16.11 on December 31, 2019.

Read SEC document
January 02, 2020 Filed Jan 6, 2020 12:50 UTC GrantCommon Stock 6,208 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001480 · doc4.xml · nonDerivative · entry 1

Finnerty Kevin J · CIK 0001335440 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 236,608

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $16.11 on December 31, 2019.

Read SEC document
January 02, 2020 Filed Jan 6, 2020 07:52 UTC GrantCommon Stock 6,208 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001482 · doc4.xml · nonDerivative · entry 1

Tyson Alan L. · CIK 0001536275 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,735

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $16.11 on December 31, 2019.

Read SEC document
January 02, 2020 Filed Jan 6, 2020 07:52 UTC GrantCommon Stock 6,208 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001483 · doc4.xml · nonDerivative · entry 1

MCGINNIS ROBERT · CIK 0001525863 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,451

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $16.11 on December 31, 2019.

Read SEC document
January 02, 2020 Filed Jan 6, 2020 12:49 UTC GrantCommon Stock 6,208 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-001479 · doc4.xml · nonDerivative · entry 1

Sloves Andrew · CIK 0001679934 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,743

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $16.11 on December 31, 2019.

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November 06, 2019 Filed Nov 7, 2019 13:19 UTC PurchaseCommon Stock 1,000 $15.93 $15,929.50
Disclosure

SEC source: 0001209191-19-055601 · doc4.xml · nonDerivative · entry 1

Sloves Andrew · CIK 0001679934 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,535

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October 30, 2019 Filed Oct 30, 2019 17:24 UTC PurchaseCommon Stock 4,500 $15.73 $70,777.35
Disclosure

SEC source: 0001209191-19-054534 · doc4.xml · nonDerivative · entry 1

MCGINNIS ROBERT · CIK 0001525863 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,243

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May 31, 2019 Filed Jun 4, 2019 20:55 UTC
Nierenberg MichaelDirector · Chairman, CEO & President
Exercise / conversionStock Option (right to buy) · Derivative 400,000 $0.00 Strike: $13.29 $0.00
Disclosure

SEC source: 0001209191-19-034370 · doc4.xml · derivative · entry 5

Nierenberg Michael · CIK 0001591719 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 400,000 shares

Expires 2026-08-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Tandem awards correspond on a one-to-one basis with options granted to FIG LLC, the Company's manager (or an affiliate of the Company's manager), such that exercise by an employee of the tandem award would result in the corresponding option held by the manager being cancelled. Upon the grant of the options to the manager (or an affiliate), such options are fully vested and become exercisable over a 30-month period (the "Total Exercisability Period") in monthly installments beginning on the first of each month following the month in which the options were granted. (Continued in Footnote 3)

F3 · derivative.exercise_date: When tandem awards are granted with respect to manager options, the manager options become exercisable in monthly installments over a portion of the Total Exercisability Period equal to the product of (i) the ratio of tandem awards to the total number of related options (including options underlying such tandem awards) multiplied by (ii) 30 (such period, the "Manager Exercisability Period"). Following the Manager Exercisability Period, the tandem awards vest in monthly installments on the first of each month over the remainder of the Total Exercisability Period and become exercisable only at the end of the Total Exercisability Period.

F4 · derivative.expiration_date: Represents the expiration date of the related manager option. In general, the expiration date of the tandem award occurs prior to the expiration date of the underlying option.

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May 31, 2019 Filed Jun 4, 2019 20:55 UTC
Nierenberg MichaelDirector · Chairman, CEO & President
Tax withholdingCommon Stock, par value $0.01 per share 348,483 $15.25 $5,314,365.75
Disclosure

SEC source: 0001209191-19-034370 · doc4.xml · nonDerivative · entry 2

Nierenberg Michael · CIK 0001591719 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,046,869

F1 · kind: No shares were sold. Reflects deemed surrender of shares to satisfy the exercise price due upon exercise of the associated options.

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May 31, 2019 Filed Jun 4, 2019 20:55 UTC
Nierenberg MichaelDirector · Chairman, CEO & President
Exercise / conversionCommon Stock, par value $0.01 per share 400,000 $13.29 $5,316,000.00
Disclosure

SEC source: 0001209191-19-034370 · doc4.xml · nonDerivative · entry 1

Nierenberg Michael · CIK 0001591719 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,395,352

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 24, 2019 Filed May 28, 2019 16:21 UTC GrantCommon Stock 6,659 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-032982 · doc4.xml · nonDerivative · entry 1

JACOBS DOUGLAS L · CIK 0001195064 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,872

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $16.52 on May 24, 2019.

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May 24, 2019 Filed May 28, 2019 20:20 UTC GrantCommon Stock 2,657 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-032980 · doc4.xml · nonDerivative · entry 1

LENEHAN PAMELA F · CIK 0001202481 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,657

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $16.52 on May 24, 2019.

Read SEC document
May 24, 2019 Filed May 28, 2019 20:29 UTC GrantCommon Stock 6,054 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-032998 · doc4.xml · nonDerivative · entry 1

Finnerty Kevin J · CIK 0001335440 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,400

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $16.52 on May 24, 2019.

Read SEC document
May 24, 2019 Filed May 28, 2019 16:23 UTC GrantCommon Stock 6,054 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-032985 · doc4.xml · nonDerivative · entry 1

MCGINNIS ROBERT · CIK 0001525863 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,743

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $16.52 on May 24, 2019.

Read SEC document
May 24, 2019 Filed May 28, 2019 16:28 UTC GrantCommon Stock 6,054 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-032995 · doc4.xml · nonDerivative · entry 1

Tyson Alan L. · CIK 0001536275 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,527

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $16.52 on May 24, 2019.

Read SEC document
May 24, 2019 Filed May 28, 2019 20:26 UTC GrantCommon Stock 6,054 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-032989 · doc4.xml · nonDerivative · entry 1

Sloves Andrew · CIK 0001679934 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,535

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $16.52 on May 24, 2019.

Read SEC document
May 24, 2019 Filed May 28, 2019 20:24 UTC GrantCommon Stock 6,054 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-032986 · doc4.xml · nonDerivative · entry 1

Saltzman David · CIK 0001574248 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,941

F1 · price: The shares were issued to director as compensation for services provided to the issuer in accordance with the issuer's Incentive Award Plan and the additional terms established by resolution of the Board of Directors. The applicable closing stock price was $16.52 on May 24, 2019.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.