Traenkle Kevin P.

SEC source: 0000899243-20-007755 · doc4.xml · nonDerivative · entry 1

Traenkle Kevin P. · CIK 0001472233 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 209,490

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: 0000899243-20-000833 · doc4.xml · nonDerivative · entry 1

Traenkle Kevin P. · CIK 0001472233 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 925,167

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: 0001415889-19-001300 · form4-11132019_011153.xml · nonDerivative · entry 2

Traenkle Kevin P. · CIK 0001472233 · Director · CEO AND PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 274,877

F2 · price: The price reported represents the weighted average purchase price of the shares acquired. The actual purchase prices for the transactions on November 13, 2019 ranged from$11.91 to $12.00.The reporting person has provided to the Issuer, and hereby undertakes to provide upon request by the U.S. Securities and Exchange Commission staff or a security holder of the Issuer, full information regarding the number of shares acquired at each separate price.

SEC source: 0001415889-19-001300 · form4-11132019_011153.xml · nonDerivative · entry 1

Traenkle Kevin P. · CIK 0001472233 · Director · CEO AND PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,877

F1 · price: The price reported represents the weighted average purchase price of the shares acquired. The actual purchase prices for the transactions on November 12, 2019 ranged from$11.84 to $12.02.The reporting person has provided to the Issuer, and hereby undertakes to provide upon request by the U.S. Securities and Exchange Commission staff or a security holder of the Issuer, full information regarding the number of shares acquired at each separate price.

SEC source: 0001415889-19-000947 · form4-08192019_020829.xml · nonDerivative · entry 2

Traenkle Kevin P. · CIK 0001472233 · Director · CEO AND PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,877

F1 · price: The price reported represents the weighted average purchase price of the shares acquired. The actual purchase prices for the transactions on August 16, 2019 ranged from $13.01 to $13.08. The actual purchase prices for the transactions on August 19, 2019 ranged from $12.86 to $13.00.The reporting person has provided to the Issuer, and hereby undertakes to provide upon request by the U.S. Securities and Exchange Commission staff or a security holder of the Issuer, full information regarding the number of shares acquired at each separate price.

SEC source: 0001415889-19-001295 · form4a-11132019_011129.xml · nonDerivative · entry 2

Traenkle Kevin P. · CIK 0001472233 · Director · CEO AND PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,877

F1 · kind: The securities were acquired in open market purchases by the reporting person. The Transaction Code is amended to a "P", from the earlier stated Transaction Code "A" on the initial Form 4 filed by the reporting person.

F2 · price: The price reported represents the weighted average purchase price of the shares acquired. The actual purchase prices for the transactions on August 16, 2019 ranged from $13.01 to $13.08. The actual purchase prices for the transactions on August 19, 2019 ranged from $12.86 to $13.00.The reporting person has provided to the Issuer, and hereby undertakes to provide upon request by the U.S. Securities and Exchange Commission staff or a security holder of the Issuer, full information regarding the number of shares acquired at each separate price.

SEC source: 0001415889-19-000947 · form4-08192019_020829.xml · nonDerivative · entry 1

Traenkle Kevin P. · CIK 0001472233 · Director · CEO AND PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,877

F1 · price: The price reported represents the weighted average purchase price of the shares acquired. The actual purchase prices for the transactions on August 16, 2019 ranged from $13.01 to $13.08. The actual purchase prices for the transactions on August 19, 2019 ranged from $12.86 to $13.00.The reporting person has provided to the Issuer, and hereby undertakes to provide upon request by the U.S. Securities and Exchange Commission staff or a security holder of the Issuer, full information regarding the number of shares acquired at each separate price.

SEC source: 0001415889-19-001295 · form4a-11132019_011129.xml · nonDerivative · entry 1

Traenkle Kevin P. · CIK 0001472233 · Director · CEO AND PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,877

F1 · kind: The securities were acquired in open market purchases by the reporting person. The Transaction Code is amended to a "P", from the earlier stated Transaction Code "A" on the initial Form 4 filed by the reporting person.

F2 · price: The price reported represents the weighted average purchase price of the shares acquired. The actual purchase prices for the transactions on August 16, 2019 ranged from $13.01 to $13.08. The actual purchase prices for the transactions on August 19, 2019 ranged from $12.86 to $13.00.The reporting person has provided to the Issuer, and hereby undertakes to provide upon request by the U.S. Securities and Exchange Commission staff or a security holder of the Issuer, full information regarding the number of shares acquired at each separate price.

SEC source: 0000899243-19-008041 · doc4.xml · nonDerivative · entry 2

Traenkle Kevin P. · CIK 0001472233 · Director · CEO AND PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,877

F2 · kind: The shares of Issuer's Class A common stock ("Common Stock") awarded will vest ratably in three annual installments beginning on March 15, 2019. The acquisition represents the receipt of Common Stock granted by the Issuer for services provided to the Issuer and the Issuer's external manager.

SEC source: 0000899243-19-008041 · doc4.xml · nonDerivative · entry 1

Traenkle Kevin P. · CIK 0001472233 · Director · CEO AND PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,700

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: 0000899243-19-008203 · doc4.xml · nonDerivative · entry 2

Traenkle Kevin P. · CIK 0001472233 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 934,409

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: 0000899243-19-008203 · doc4.xml · nonDerivative · entry 1

Traenkle Kevin P. · CIK 0001472233 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 892,780

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: 0000899243-19-000766 · doc4.xml · nonDerivative · entry 1

Traenkle Kevin P. · CIK 0001472233 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 904,720

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: 0000899243-18-022220 · doc4.xml · derivative · entry 4

Traenkle Kevin P. · CIK 0001472233 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Class A Common Stock · 66,976 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: 0000899243-18-022220 · doc4.xml · derivative · entry 3

Traenkle Kevin P. · CIK 0001472233 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 66,976

Underlying: Class A Common Stock · 66,976 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: 0000899243-18-022220 · doc4.xml · derivative · entry 2

Traenkle Kevin P. · CIK 0001472233 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 133,952

Underlying: Class A Common Stock · 133,952 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: 0000899243-18-022220 · doc4.xml · nonDerivative · entry 1

Traenkle Kevin P. · CIK 0001472233 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 921,092

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: 0000899243-18-009479 · doc4.xml · derivative · entry 3

Traenkle Kevin P. · CIK 0001472233 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Class A Common Stock · 134,912 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: 0000899243-18-009479 · doc4.xml · derivative · entry 2

Traenkle Kevin P. · CIK 0001472233 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 134,912

Underlying: Class A Common Stock · 134,912 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: 0000899243-18-009479 · doc4.xml · nonDerivative · entry 1

Traenkle Kevin P. · CIK 0001472233 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 854,116

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: 0001415889-18-000397 · form4-03162018_070311.xml · nonDerivative · entry 1

Traenkle Kevin P. · CIK 0001472233 · Director · CEO AND PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,689

F1 · kind: The shares of Issuer's Class A common stock ("Common Stock") awarded will vest ratably in three annual installments beginning on March 15, 2018. The acquisition represents the receipt of Common Stock granted by the Issuer for services provided to the Issuer and the Issuer's external manager.

SEC source: 0000899243-18-008037 · doc4.xml · nonDerivative · entry 1

Traenkle Kevin P. · CIK 0001472233 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 719,204

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: 0000899243-18-000817 · doc4.xml · nonDerivative · entry 1

Traenkle Kevin P. · CIK 0001472233 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 641,246

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: 0000899243-17-009604 · doc4.xml · derivative · entry 3

Traenkle Kevin P. · CIK 0001472233 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 269,824

Underlying: Class A Common Stock · 134,912 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: 0000899243-17-009604 · doc4.xml · derivative · entry 2

Traenkle Kevin P. · CIK 0001472233 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 404,737

Underlying: Class A Common Stock · 134,910 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: 0000899243-17-009604 · doc4.xml · nonDerivative · entry 1

Traenkle Kevin P. · CIK 0001472233 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 666,789

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: 0001123292-17-000121 · edgar.xml · nonDerivative · entry 1

Traenkle Kevin P. · CIK 0001472233 · Exec Dir-CIO Global Real Est

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: 0001123292-17-000017 · edgar.xml · nonDerivative · entry 2

Traenkle Kevin P. · CIK 0001472233 · Exec. Dir.-CIO Global Real Est

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 362,736

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: 0001123292-17-000017 · edgar.xml · nonDerivative · entry 1

Traenkle Kevin P. · CIK 0001472233 · Exec. Dir.-CIO Global Real Est

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 378,879

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