Sanders Ronald M.

SEC source: 0001679688-23-000034 · wf-form4_168064209531374.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 318,079

F2 · kind: The shares were withheld by the Issuer in satisfaction of withholding taxes incurred in connection with the vesting of the relative TSR performance units referred to in Footnote 1.

SEC source: 0001679688-23-000034 · wf-form4_168064209531374.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 335,017

F1 · shares: Acquired upon the settlement of relative total shareholder return (TSR) performance units granted on March 16, 2020 under the Issuer's 2014 Omnibus Stock Incentive Plan as a result of the satisfaction, at the 60% payout level, of the performance criteria underlying the award.

F1 · price: Acquired upon the settlement of relative total shareholder return (TSR) performance units granted on March 16, 2020 under the Issuer's 2014 Omnibus Stock Incentive Plan as a result of the satisfaction, at the 60% payout level, of the performance criteria underlying the award.

SEC source: 0001104659-23-033974 · tm239836-3_4seq1.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 301,684

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, 2024, March 15, 2025 and March 15, 2026.

SEC source: 0001104659-23-033974 · tm239836-3_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 232,898

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: 0001679688-22-000026 · wf-form4_164798665538748.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,010,447

F2 · kind: The shares were withheld by the Issuer in satisfaction of withholding taxes incurred in connection with the vesting of the relative TSR performance units referred to in Footnote 1.

SEC source: 0001679688-22-000026 · wf-form4_164798665538748.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,041,413

F1 · shares: Acquired upon the settlement of relative total shareholder return (TSR) performance units granted on March 15, 2019 under the Issuer's 2014 Omnibus Stock Incentive Plan as a result of the satisfaction, at the 60% payout level, of the performance criteria underlying the award.

F1 · price: Acquired upon the settlement of relative total shareholder return (TSR) performance units granted on March 15, 2019 under the Issuer's 2014 Omnibus Stock Incentive Plan as a result of the satisfaction, at the 60% payout level, of the performance criteria underlying the award.

SEC source: 0001679688-22-000021 · wf-form4_164755472563233.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 980,753

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, 2023, March 15, 2024 and March 15, 2025.

SEC source: 0001679688-22-000021 · wf-form4_164755472563233.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 864,339

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: 0000899243-21-013690 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 942,939

F2 · kind: The shares were withheld by the Issuer in satisfaction of withholding taxes incurred in connection with the vesting of the relative TSR performance units referred to in Footnote 1.

SEC source: 0000899243-21-013690 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 966,177

F1 · shares: Acquired upon the settlement of relative total shareholder return (TSR) performance units granted on March 15, 2018 under the Issuer's 2014 Omnibus Stock Incentive Plan as a result of the satisfaction, at the 60% payout level, of the performance criteria underlying the award.

F1 · price: Acquired upon the settlement of relative total shareholder return (TSR) performance units granted on March 15, 2018 under the Issuer's 2014 Omnibus Stock Incentive Plan as a result of the satisfaction, at the 60% payout level, of the performance criteria underlying the award.

SEC source: 0000899243-21-012272 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 918,723

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, 2022, March 15, 2023 and March 15, 2024.

SEC source: 0000899243-21-012272 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 780,135

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: 0000899243-20-022314 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 845,821

F1 · price: Represents a weighted average price per share. These shares were purchased in multiple transactions ranging from $2.515 to $2.605, inclusive. The reporting person undertakes to provide upon request by the staff of the U.S. Securities and Exchange Commission, the Issuer or a security holder of the Company, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

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: 0000899243-20-000837 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 578,010

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: 0000899243-19-008197 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 584,744

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 16, 2020, March 15, 2021 and March 15, 2022.

SEC source: 0000899243-19-008197 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 483,644

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: 0000899243-19-000760 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 496,553

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: 0000899243-18-022215 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Class A Common Stock · 26,381 shares

Expires not disclosed

F2 · security: Represents OP Units, which are redeemable at the election of the OP Unit holder for (1) cash equal to the market value of an equivalent number of shares of Class A Common Stock or (2) at the option of the issuer in its capacity as the managing member of CCOC, shares of Class A Common Stock on a one-for-one basis. The right to redeem OP Units does not have an expiration date.

F2 · derivative.exercise_price: Represents OP Units, which are redeemable at the election of the OP Unit holder for (1) cash equal to the market value of an equivalent number of shares of Class A Common Stock or (2) at the option of the issuer in its capacity as the managing member of CCOC, shares of Class A Common Stock on a one-for-one basis. The right to redeem OP Units does not have an expiration date.

F6 · shares: The OP Units were redeemed for cash pursuant to the terms of the OP Units described in Note 2 above.

F2 · derivative.exercise_date: Represents OP Units, which are redeemable at the election of the OP Unit holder for (1) cash equal to the market value of an equivalent number of shares of Class A Common Stock or (2) at the option of the issuer in its capacity as the managing member of CCOC, shares of Class A Common Stock on a one-for-one basis. The right to redeem OP Units does not have an expiration date.

F2 · derivative.expiration_date: Represents OP Units, which are redeemable at the election of the OP Unit holder for (1) cash equal to the market value of an equivalent number of shares of Class A Common Stock or (2) at the option of the issuer in its capacity as the managing member of CCOC, shares of Class A Common Stock on a one-for-one basis. The right to redeem OP Units does not have an expiration date.

F5 · ownership.nature: The OP Units are held by the Holdcos.

SEC source: 0000899243-18-022215 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 26,381

Underlying: Class A Common Stock · 26,380 shares

Expires not disclosed

F2 · security: Represents OP Units, which are redeemable at the election of the OP Unit holder for (1) cash equal to the market value of an equivalent number of shares of Class A Common Stock or (2) at the option of the issuer in its capacity as the managing member of CCOC, shares of Class A Common Stock on a one-for-one basis. The right to redeem OP Units does not have an expiration date.

F2 · derivative.exercise_price: Represents OP Units, which are redeemable at the election of the OP Unit holder for (1) cash equal to the market value of an equivalent number of shares of Class A Common Stock or (2) at the option of the issuer in its capacity as the managing member of CCOC, shares of Class A Common Stock on a one-for-one basis. The right to redeem OP Units does not have an expiration date.

F4 · shares: The OP Units were redeemed for shares of Class A Common Stock pursuant to the terms of the OP Units described in Note 2 above.

F2 · derivative.exercise_date: Represents OP Units, which are redeemable at the election of the OP Unit holder for (1) cash equal to the market value of an equivalent number of shares of Class A Common Stock or (2) at the option of the issuer in its capacity as the managing member of CCOC, shares of Class A Common Stock on a one-for-one basis. The right to redeem OP Units does not have an expiration date.

F2 · derivative.expiration_date: Represents OP Units, which are redeemable at the election of the OP Unit holder for (1) cash equal to the market value of an equivalent number of shares of Class A Common Stock or (2) at the option of the issuer in its capacity as the managing member of CCOC, shares of Class A Common Stock on a one-for-one basis. The right to redeem OP Units does not have an expiration date.

F5 · ownership.nature: The OP Units are held by the Holdcos.

SEC source: 0000899243-18-022215 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 52,761

Underlying: Class A Common Stock · 52,761 shares

Expires not disclosed

F2 · security: Represents OP Units, which are redeemable at the election of the OP Unit holder for (1) cash equal to the market value of an equivalent number of shares of Class A Common Stock or (2) at the option of the issuer in its capacity as the managing member of CCOC, shares of Class A Common Stock on a one-for-one basis. The right to redeem OP Units does not have an expiration date.

F2 · derivative.exercise_price: Represents OP Units, which are redeemable at the election of the OP Unit holder for (1) cash equal to the market value of an equivalent number of shares of Class A Common Stock or (2) at the option of the issuer in its capacity as the managing member of CCOC, shares of Class A Common Stock on a one-for-one basis. The right to redeem OP Units does not have an expiration date.

F3 · shares: The OP Units were acquired in connection with contingent consideration paid in the issuer's predecessor's acquisition of substantially all of its former manager in April 2015, and were allocated to the reporting person.

F2 · derivative.exercise_date: Represents OP Units, which are redeemable at the election of the OP Unit holder for (1) cash equal to the market value of an equivalent number of shares of Class A Common Stock or (2) at the option of the issuer in its capacity as the managing member of CCOC, shares of Class A Common Stock on a one-for-one basis. The right to redeem OP Units does not have an expiration date.

F2 · derivative.expiration_date: Represents OP Units, which are redeemable at the election of the OP Unit holder for (1) cash equal to the market value of an equivalent number of shares of Class A Common Stock or (2) at the option of the issuer in its capacity as the managing member of CCOC, shares of Class A Common Stock on a one-for-one basis. The right to redeem OP Units does not have an expiration date.

F5 · ownership.nature: The OP Units are held by the Holdcos.

SEC source: 0000899243-18-022215 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 509,133

F1 · price: Represents the redemption by limited liability companies controlled by Thomas J. Barrack, Jr. (the "Holdcos") of common membership units ("OP Units") in Colony Capital Operating Company, LLC ("CCOC") allocable to the reporting person for shares of the issuer's Class A Common Stock ("Class A Common Stock") pursuant to the terms of the OP Units described in Note 2 below. Pursuant to the operating agreements of the Holdcos, the shares of Class A Common Stock received in connection with the redemption were distributed by the Holdcos to the reporting person.

SEC source: 0000899243-18-009475 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Class A Common Stock · 53,139 shares

Expires not disclosed

F2 · security: Represents OP Units, which are redeemable at the election of the OP Unit holder for (1) cash equal to the market value of an equivalent number of shares of Class A Common Stock or (2) at the option of the issuer in its capacity as the managing member of CCOC, shares of Class A Common Stock on a one-for-one basis. The right to redeem OP Units does not have an expiration date.

F2 · derivative.exercise_price: Represents OP Units, which are redeemable at the election of the OP Unit holder for (1) cash equal to the market value of an equivalent number of shares of Class A Common Stock or (2) at the option of the issuer in its capacity as the managing member of CCOC, shares of Class A Common Stock on a one-for-one basis. The right to redeem OP Units does not have an expiration date.

F5 · shares: The OP Units were redeemed for cash pursuant to the terms of the OP Units described in Note 2 above.

F2 · derivative.exercise_date: Represents OP Units, which are redeemable at the election of the OP Unit holder for (1) cash equal to the market value of an equivalent number of shares of Class A Common Stock or (2) at the option of the issuer in its capacity as the managing member of CCOC, shares of Class A Common Stock on a one-for-one basis. The right to redeem OP Units does not have an expiration date.

F2 · derivative.expiration_date: Represents OP Units, which are redeemable at the election of the OP Unit holder for (1) cash equal to the market value of an equivalent number of shares of Class A Common Stock or (2) at the option of the issuer in its capacity as the managing member of CCOC, shares of Class A Common Stock on a one-for-one basis. The right to redeem OP Units does not have an expiration date.

F4 · ownership.nature: The OP Units are allocated to the reporting person and held by the Holdcos.

SEC source: 0000899243-18-009475 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 53,139

Underlying: Class A Common Stock · 53,138 shares

Expires not disclosed

F2 · security: Represents OP Units, which are redeemable at the election of the OP Unit holder for (1) cash equal to the market value of an equivalent number of shares of Class A Common Stock or (2) at the option of the issuer in its capacity as the managing member of CCOC, shares of Class A Common Stock on a one-for-one basis. The right to redeem OP Units does not have an expiration date.

F2 · derivative.exercise_price: Represents OP Units, which are redeemable at the election of the OP Unit holder for (1) cash equal to the market value of an equivalent number of shares of Class A Common Stock or (2) at the option of the issuer in its capacity as the managing member of CCOC, shares of Class A Common Stock on a one-for-one basis. The right to redeem OP Units does not have an expiration date.

F3 · shares: The OP Units were redeemed for shares of Class A Common Stock pursuant to the terms of the OP Units described in Note 2 above.

F2 · derivative.exercise_date: Represents OP Units, which are redeemable at the election of the OP Unit holder for (1) cash equal to the market value of an equivalent number of shares of Class A Common Stock or (2) at the option of the issuer in its capacity as the managing member of CCOC, shares of Class A Common Stock on a one-for-one basis. The right to redeem OP Units does not have an expiration date.

F2 · derivative.expiration_date: Represents OP Units, which are redeemable at the election of the OP Unit holder for (1) cash equal to the market value of an equivalent number of shares of Class A Common Stock or (2) at the option of the issuer in its capacity as the managing member of CCOC, shares of Class A Common Stock on a one-for-one basis. The right to redeem OP Units does not have an expiration date.

F4 · ownership.nature: The OP Units are allocated to the reporting person and held by the Holdcos.

SEC source: 0000899243-18-009475 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 482,753

F1 · price: Represents the redemption by limited liability companies controlled by Thomas J. Barrack, Jr. (the "Holdcos") of common membership units ("OP Units") in Colony Capital Operating Company, LLC ("CCOC") allocable to the reporting person for shares of the issuer's Class A Common Stock ("Class A Common Stock") pursuant to the terms of the OP Units described in Note 2 below. Pursuant to the operating agreements of the Holdcos, the shares of Class A Common Stock received in connection with the redemption were distributed by the Holdcos to the reporting person.

SEC source: 0000899243-18-008038 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 429,615

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 beginning on March 15, 2019.

SEC source: 0000899243-18-000812 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,524

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: 0000899243-17-009605 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 106,277

Underlying: Class A Common Stock · 53,138 shares

Expires not disclosed

F3 · derivative.exercise_price: These units are held by LLCs controlled by Thomas J. Barrack, Jr. A portion of the units allocated to the reporting person, as a member of the LLCs, was redeemed by the LLCs for cash, at the discretion of the issuer, and the reporting person received cash as a distribution from the LLCs upon such redemption. The OP Units do not have expiration dates.

F3 · derivative.exercise_date: These units are held by LLCs controlled by Thomas J. Barrack, Jr. A portion of the units allocated to the reporting person, as a member of the LLCs, was redeemed by the LLCs for cash, at the discretion of the issuer, and the reporting person received cash as a distribution from the LLCs upon such redemption. The OP Units do not have expiration dates.

F3 · derivative.expiration_date: These units are held by LLCs controlled by Thomas J. Barrack, Jr. A portion of the units allocated to the reporting person, as a member of the LLCs, was redeemed by the LLCs for cash, at the discretion of the issuer, and the reporting person received cash as a distribution from the LLCs upon such redemption. The OP Units do not have expiration dates.

F3 · ownership.nature: These units are held by LLCs controlled by Thomas J. Barrack, Jr. A portion of the units allocated to the reporting person, as a member of the LLCs, was redeemed by the LLCs for cash, at the discretion of the issuer, and the reporting person received cash as a distribution from the LLCs upon such redemption. The OP Units do not have expiration dates.

SEC source: 0000899243-17-009605 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 159,415

Underlying: Class A Common Stock · 53,138 shares

Expires not disclosed

F2 · derivative.exercise_price: These units are held by LLCs controlled by Thomas J. Barrack, Jr. A portion of the units allocated to the reporting person, as a member of the LLCs, was redeemed by the LLCs for shares of Class A Common Stock, at the discretion of the issuer, and the reporting person received shares of Class A Common Stock as a distribution from the LLCs upon such redemption. The OP Units do not have expiration dates.

F2 · derivative.exercise_date: These units are held by LLCs controlled by Thomas J. Barrack, Jr. A portion of the units allocated to the reporting person, as a member of the LLCs, was redeemed by the LLCs for shares of Class A Common Stock, at the discretion of the issuer, and the reporting person received shares of Class A Common Stock as a distribution from the LLCs upon such redemption. The OP Units do not have expiration dates.

F2 · derivative.expiration_date: These units are held by LLCs controlled by Thomas J. Barrack, Jr. A portion of the units allocated to the reporting person, as a member of the LLCs, was redeemed by the LLCs for shares of Class A Common Stock, at the discretion of the issuer, and the reporting person received shares of Class A Common Stock as a distribution from the LLCs upon such redemption. The OP Units do not have expiration dates.

F2 · ownership.nature: These units are held by LLCs controlled by Thomas J. Barrack, Jr. A portion of the units allocated to the reporting person, as a member of the LLCs, was redeemed by the LLCs for shares of Class A Common Stock, at the discretion of the issuer, and the reporting person received shares of Class A Common Stock as a distribution from the LLCs upon such redemption. The OP Units do not have expiration dates.

SEC source: 0000899243-17-009605 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 367,107

F1 · price: The acquisition represents the acquisition of shares of Class A Common Stock by the reporting person as a distribution from limited liability companies ("LLCs") controlled by Thomas J. Barrack, Jr., which shares were received by such LLCs upon redemption of OP Units, which were allocated to the reporting person pursuant to the operating agreements of the LLCs. The OP Units were redeemed for an equal number of shares of the issuer's Class A Common Stock.

SEC source: 0001123292-17-000128 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Pursuant to the terms of that certain Agreement and Plans of Merger, dated as of June 2, 2016 (as amended by the two separate letter agreements dated July 28, 2016 and October 16, 2016, respectively, the "Merger Agreement"), by and among NorthStar Asset Management Group Inc. ("NSAM"), Colony Capital, Inc. ("Colony"), NorthStar Realty Finance Corp., Colony NorthStar, Inc. (formerly known as New Polaris Inc.) ("Colony NorthStar"), New Sirius Inc., NorthStar Realty Finance Limited Partnership, Sirius Merger Sub-T, LLC and New Sirius Merger Sub, LLC, at the effective time of the merger of Colony into Colony NorthStar ("Merger"), each share of Colony class A common stock converted into the right to receive 1.4663 shares of Colony NorthStar's class A common stock, which converted shares of Colony NorthStar class A common stock shall be timely reported in accordance with Section 16 of the Securities Exchange Act of 1934, as amended.

F2 · price: On the effective date of the Merger, the closing price of Colony's class A common stock was $21.52 per share, and the closing price of Colony NorthStar's class A common stock (as successor issuer of NSAM under Rule 12g-3(a) of the Securities Exchange Act of 1934, as amended) was $15.84 per share.

SEC source: 0001123292-17-000011 · edgar.xml · nonDerivative · entry 2

Sanders Ronald M. · CIK 0001472238 · Director-CLO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214,124

F2 · 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: 0001123292-17-000011 · edgar.xml · nonDerivative · entry 1

Sanders Ronald M. · CIK 0001472238 · Director-CLO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 223,287

F1 · kind: The acquisition represents the receipt of Class A common stock granted by the Issuer for services provided by Mr. Sanders to the Issuer.