Schoenherr Charles W

SEC source: 0001104659-23-041004 · tm2311384-2_4seq1.xml · nonDerivative · entry 1

Schoenherr Charles W · CIK 0001497786 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,121

F1 · kind: On March 30, 2023, DiamondHead Holdings Corp. (the "Former Issuer") consummated its business combination with Great Southern Homes, Inc., as described on Form S-4 (File No. 333-267820) filed by the Former Issuer with the U.S. Securities and Exchange Commission, which was declared effective on February 14, 2023 and includes a proxy statement/prospectus of the Former Issuer (the "Definitive Proxy"). Pursuant to the terms of the Limited Liability Company Operating Agreement of DHP SPAC-II Sponsor LLC, the Former Issuer's sponsor (the "Sponsor"), dated January 25, 2021 as amended from time to time, the Reporting Person, as a member of the Sponsor, received 27,121 UHG Class A Common Shares (as defined in the Definitive Proxy), which were converted from DHHC Class B Shares (as defined in the Definitive Proxy) upon consummation of the business combination.

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: 0000899243-20-010916 · 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: 0000899243-20-001389 · doc4.xml · derivative · entry 1

Schoenherr Charles W · CIK 0001497786 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,659

Underlying: Class A Common Stock · 1,769 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, 745 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, 745 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, 745 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: 0000899243-19-025715 · doc4.xml · derivative · entry 1

Schoenherr Charles W · CIK 0001497786 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,890

Underlying: Class A Common Stock · 1,559 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, 657 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, 657 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, 657 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: 0000899243-19-019803 · doc4.xml · derivative · entry 1

Schoenherr Charles W · CIK 0001497786 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,331

Underlying: Class A Common Stock · 1,646 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, 693 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, 693 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, 693 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: 0000899243-19-013289 · doc4.xml · derivative · entry 1

Schoenherr Charles W · CIK 0001497786 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,685

Underlying: Class A Common Stock · 31,873 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 9, 2020. 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 9, 2020. 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 9, 2020. 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 9, 2020. 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: 0000899243-19-010780 · doc4.xml · derivative · entry 1

Schoenherr Charles W · CIK 0001497786 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,812

Underlying: Class A Common Stock · 874 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, 543 of which is scheduled to vest on May 10, 2019. 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, 543 of which is scheduled to vest on May 10, 2019. 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, 543 of which is scheduled to vest on May 10, 2019. 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: 0000899243-19-001394 · doc4.xml · derivative · entry 1

Schoenherr Charles W · CIK 0001497786 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,938

Underlying: Class A Common Stock · 832 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, 517 of which is scheduled to vest on May 10, 2019. 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, 517 of which is scheduled to vest on May 10, 2019. 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, 517 of which is scheduled to vest on May 10, 2019. 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: 0000899243-18-026884 · doc4.xml · derivative · entry 1

Schoenherr Charles W · CIK 0001497786 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,106

Underlying: Class A Common Stock · 832 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, 517 of which is scheduled to vest on May 10, 2019. 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, 517 of which is scheduled to vest on May 10, 2019. 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, 517 of which is scheduled to vest on May 10, 2019. 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: 0000899243-18-020147 · doc4.xml · derivative · entry 1

Schoenherr Charles W · CIK 0001497786 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,274

Underlying: Class A Common Stock · 721 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, 448 of which is scheduled to vest on May 10, 2019. 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, 448 of which is scheduled to vest on May 10, 2019. 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, 448 of which is scheduled to vest on May 10, 2019. 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: 0000899243-18-012725 · doc4.xml · derivative · entry 1

Schoenherr Charles W · CIK 0001497786 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,553

Underlying: Class A Common Stock · 25,197 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred stock units ("Deferred Stock") have no expiration date and are payable in shares of the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer.

F2 · price: The Deferred Stock was 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. The Deferred Stock is scheduled to vest on May 10, 2019.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.

F1 · derivative.exercise_date: Deferred stock units ("Deferred Stock") have no expiration date and are payable in shares of the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer.

F1 · derivative.expiration_date: Deferred stock units ("Deferred Stock") have no expiration date and are payable in shares of the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer.

SEC source: 0000899243-18-010365 · doc4.xml · derivative · entry 1

Schoenherr Charles W · CIK 0001497786 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,356

Underlying: Class A Common Stock · 297 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, 226 of which is scheduled to vest on May 4, 2018. 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, 226 of which is scheduled to vest on May 4, 2018. 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, 226 of which is scheduled to vest on May 4, 2018. 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: 0000899243-18-006675 · doc4.xml · nonDerivative · entry 2

Schoenherr Charles W · CIK 0001497786 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,557

SEC source: 0000899243-18-006675 · doc4.xml · nonDerivative · entry 1

Schoenherr Charles W · CIK 0001497786 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 17,047

F1 · price: The price reported in Column 4 is the weighted average price. These shares were acquired in multiple transactions at prices ranging from $5.849 to $5.85. The reporting person undertakes to provide to 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 sold at each separate price within the range set forth above.

F2 · ownership.nature: The shares are held by a limited partnership of which the reporting person is a general partner. 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: 0000899243-18-001476 · doc4.xml · derivative · entry 1

Schoenherr Charles W · CIK 0001497786 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,059

Underlying: Class A Common Stock · 384 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. 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. 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. 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: 0000899243-17-024423 · doc4.xml · derivative · entry 1

Schoenherr Charles W · CIK 0001497786 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,675

Underlying: Class A Common Stock · 311 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. 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. 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. 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: 0000899243-17-018486 · doc4.xml · derivative · entry 1

Schoenherr Charles W · CIK 0001497786 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,364

Underlying: Class A Common Stock · 14,364 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 compensation policy. 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 · price: 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 compensation policy. 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 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 compensation policy. 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 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 compensation policy. 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: 0001571049-17-000366 · t1700104x10.xml · nonDerivative · entry 2

Schoenherr Charles W · CIK 0001497786 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Schoenherr Interests LP

Disclosed balance after: 0

F1 · security: On January 10, 2017, New Sirius Inc. ("New NRF") merged (the "CLNS Merger") with Colony NorthStar, Inc. ("CLNS"), which followed substantially concurrent reorganization transactions (the "NRF Reorganization") involving NorthStar Realty Finance Corp. ("NRF") pursuant to which NRF became a wholly owned subsidiary of New NRF, which had previously been a wholly owned subsidiary of NRF, and all of the outstanding shares of common stock, par value $0.01 per share, of NRF ("Common Stock") were converted into an equal number of shares of common stock of New NRF.

F3 · price: Disposed of pursuant to the merger of New NRF with and into CLNS in exchange for shares of CLNS common stock at a ratio of one share of New NRF common stock for 1.0996 shares of CLNS common stock having a market value of $15.84 per share on the effective date of the CLNS Merger based on the reported closing sale price on such date. Prior to the merger of New NRF with and into CLNS, all outstanding shares of Common Stock were automatically converted into an equal number of shares of New NRF common stock pursuant to the NRF Reorganization.

SEC source: 0001571049-17-000366 · t1700104x10.xml · nonDerivative · entry 1

Schoenherr Charles W · CIK 0001497786 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · security: On January 10, 2017, New Sirius Inc. ("New NRF") merged (the "CLNS Merger") with Colony NorthStar, Inc. ("CLNS"), which followed substantially concurrent reorganization transactions (the "NRF Reorganization") involving NorthStar Realty Finance Corp. ("NRF") pursuant to which NRF became a wholly owned subsidiary of New NRF, which had previously been a wholly owned subsidiary of NRF, and all of the outstanding shares of common stock, par value $0.01 per share, of NRF ("Common Stock") were converted into an equal number of shares of common stock of New NRF.

F2 · shares: Includes 10,724 shares of Common Stock issued on January 10, 2017 in exchange for an equal number of LTIP Units of NorthStar Realty Finance Limited Partnership ("NRFLP"), when, as part of the NRF Reorganization, NRFLP merged with a wholly owned subsidiary of NRF, resulting in all outstanding LTIP Units in NRFLP becoming fully vested and converting into an equal number of shares of Common Stock.

F3 · price: Disposed of pursuant to the merger of New NRF with and into CLNS in exchange for shares of CLNS common stock at a ratio of one share of New NRF common stock for 1.0996 shares of CLNS common stock having a market value of $15.84 per share on the effective date of the CLNS Merger based on the reported closing sale price on such date. Prior to the merger of New NRF with and into CLNS, all outstanding shares of Common Stock were automatically converted into an equal number of shares of New NRF common stock pursuant to the NRF Reorganization.

SEC source: 0001123292-17-000118 · edgar.xml · nonDerivative · entry 2

Schoenherr Charles W · CIK 0001497786 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 6,047

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., NorthStar Realty Finance Corp. ("NRF"), 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 NRF into Colony NorthStar ("Merger"), each share of NRF class A common stock converted into the right to receive 1.0996 shares of Colony NorthStar's class A common stock, subject to immaterial adjustments due to rounding and/or fractional shares.

F2 · price: On the effective date of the Merger, the closing price of NRF's class A common stock was $16.13 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.

F3 · ownership.nature: The shares are held by a limited partnership of which the reporting person is a general partner. 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: 0001123292-17-000118 · edgar.xml · nonDerivative · entry 1

Schoenherr Charles W · CIK 0001497786 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,557

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., NorthStar Realty Finance Corp. ("NRF"), 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 NRF into Colony NorthStar ("Merger"), each share of NRF class A common stock converted into the right to receive 1.0996 shares of Colony NorthStar's class A common stock, subject to immaterial adjustments due to rounding and/or fractional shares.

F2 · price: On the effective date of the Merger, the closing price of NRF's class A common stock was $16.13 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: 0001571049-16-019926 · t1602772-x6_schoenherr.xml · nonDerivative · entry 1

Schoenherr Charles W · CIK 0001497786 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,086

F1 · price: These shares of common stock were granted pursuant to the NorthStar Realty Europe Corp. 2015 Omnibus Stock Incentive Plan in connection with the reporting person's service on the board of directors of NorthStar Realty Europe Corp. (the "Company"), and were fully vested upon grant. The amount of common stock was determined by dividing the fixed grant value of $75,000 by the closing price of the Company's common stock on the New York Stock Exchange on the grant date.