Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| DigitalBridge Group, Inc.DBRG · Entity 4232 | Director | July 15, 2021 | July 19, 2021 |
| GUESS INCGES · Entity 68731 | Director | May 31, 2024 | June 04, 2024 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
DigitalBridge Group, Inc.
Report date July 15, 2021 · Filed July 19, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Common StockSEC Table I · non-derivative | IndirectBy Family Trust | 665,978 |
Reported balance
After 2021-07-15 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2021-07-15 · Other · Disposed 67,953 · Balance 665,978 F1: Pursuant to the terms of the issuer's Class B Common Stock (the "Class B Common Stock"), 67,953 shares of Class B Common Stock were converted to shares of the issuer's Class A Common Stock ("Class A Common Stock") on a one-for-one basis. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy Family Trust | 4,004,609 |
Reported balance
After 2021-07-15 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2021-07-15 · Other · Acquired 67,953 · Balance 4,004,609 F1: Pursuant to the terms of the issuer's Class B Common Stock (the "Class B Common Stock"), 67,953 shares of Class B Common Stock were converted to shares of the issuer's Class A Common Stock ("Class A Common Stock") on a one-for-one basis. |
| Deferred StockSEC Table II · derivative / convertible security | Direct | 27,702 |
Reported balance
After 2021-07-15 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-07-15 · Grant · Acquired 2,265 · Balance 27,702 F4: Represents the receipt of deferred stock units ("Deferred Stock") granted by the issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the issuer's non-executive director compensation policy. F5: 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. |
| OP UnitsSEC Table II · derivative / convertible security | IndirectSee footnote | 23,642,307 |
Reported balance
Holding disclosure · report date 2021-07-15 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 23,642,307 F2: 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: The OP Units are held by the limited liability companies controlled by the reporting person (the "Holdcos"). The reporting person disclaims beneficial ownership of the OP Units held by the Holdcos except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms of the issuer's Class B Common Stock (the "Class B Common Stock"), 67,953 shares of Class B Common Stock were converted to shares of the issuer's Class A Common Stock ("Class A Common Stock") on a one-for-one basis.
F2: 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: The OP Units are held by the limited liability companies controlled by the reporting person (the "Holdcos"). The reporting person disclaims beneficial ownership of the OP Units held by the Holdcos except to the extent of his pecuniary interest therein.
F4: Represents the receipt of deferred stock units ("Deferred Stock") granted by the issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the issuer's non-executive director compensation policy.
F5: 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.
GUESS INC
Report date May 31, 2024 · Filed June 04, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 17,560 |
Reported balance
After 2024-05-31 transaction · row 1
1 source rowRow 1 · 2024-05-31 · Grant · Acquired 7,735 · Balance 17,560 F1: Acquired pursuant to Issuer's equity plan. |
Filing footnotes · ownership attribution and instrument terms
F1: Acquired pursuant to Issuer's equity plan.
Past disclosures · reporting ended (3)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Colony Capital, Inc.
Report date January 10, 2017 · Filed January 12, 2017
Section 16 reporting ended · disclosed 2017-01-12. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectBy Family Trust | 0 |
Reported balance
After 2017-01-10 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2017-01-10 · Disposition to issuer · Disposed 912,040 · Balance 0 F1: 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: 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. |
| Class B Common StockSEC Table I · non-derivative | IndirectBy Family Trust | 0 |
Reported balance
After 2017-01-02 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2017-01-02 · Disposition to issuer · Disposed 525,159 · Balance 0 F3: Pursuant to the Merger Agreement, at the effective time of the Merger, each share of Colony class B common stock converted into the right to receive 1.4663 shares of Colony NorthStar's class B common stock. F4: A holder of shares of class B common stock has the right, at the holder's option, to convert all or a portion of such holder's Class B common stock into an equal number of shares of Class A common stock |
| Series A Preferred StockSEC Table I · non-derivative | IndirectBy Managed Investment Vehicle | 0 |
Reported balance
After 2017-01-10 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2017-01-10 · Disposition to issuer · Disposed 373,784 · Balance 0 F5: Pursuant to the Merger Agreement, each share of Colony series A preferred stock, series B preferred stock and series C preferred converted into the right to receive one share of the Colony NorthStar's 8.50% Series F Cumulative Redeemable Perpetual Preferred Stock, 7.50% Series G Cumulative Redeemable Perpetual Preferred Stock and 7.125% Series H Cumulative Redeemable Perpetual Preferred Stock, respectively, having preferences, conversion and other rights, voting powers, restrictions, limitations as to dividend, qualification and terms and conditions of redemption substantially similar to those of the corresponding series of Colony preferred stock. F6: Represents acquisitions by an investment vehicle between and managed by (i) an investment fund sponsored and managed by affiliates of Colony NorthStar and beneficially controlled by the reporting person through the general partner of such investment fund and (ii) a wholly-owned subsidiary of Colony Capital Operating Company, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all reported shares for purposes of Section 16 or for any other purpose. |
| Series B Preferred StockSEC Table I · non-derivative | IndirectBy Managed Investment Vehicle | 0 |
Reported balance
After 2017-01-10 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2017-01-10 · Disposition to issuer · Disposed 297,841 · Balance 0 F5: Pursuant to the Merger Agreement, each share of Colony series A preferred stock, series B preferred stock and series C preferred converted into the right to receive one share of the Colony NorthStar's 8.50% Series F Cumulative Redeemable Perpetual Preferred Stock, 7.50% Series G Cumulative Redeemable Perpetual Preferred Stock and 7.125% Series H Cumulative Redeemable Perpetual Preferred Stock, respectively, having preferences, conversion and other rights, voting powers, restrictions, limitations as to dividend, qualification and terms and conditions of redemption substantially similar to those of the corresponding series of Colony preferred stock. F6: Represents acquisitions by an investment vehicle between and managed by (i) an investment fund sponsored and managed by affiliates of Colony NorthStar and beneficially controlled by the reporting person through the general partner of such investment fund and (ii) a wholly-owned subsidiary of Colony Capital Operating Company, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all reported shares for purposes of Section 16 or for any other purpose. |
| Series C Preferred StockSEC Table I · non-derivative | IndirectBy Managed Investment Vehicle | 0 |
Reported balance
After 2017-01-10 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 5 · 2017-01-10 · Disposition to issuer · Disposed 292,093 · Balance 0 F5: Pursuant to the Merger Agreement, each share of Colony series A preferred stock, series B preferred stock and series C preferred converted into the right to receive one share of the Colony NorthStar's 8.50% Series F Cumulative Redeemable Perpetual Preferred Stock, 7.50% Series G Cumulative Redeemable Perpetual Preferred Stock and 7.125% Series H Cumulative Redeemable Perpetual Preferred Stock, respectively, having preferences, conversion and other rights, voting powers, restrictions, limitations as to dividend, qualification and terms and conditions of redemption substantially similar to those of the corresponding series of Colony preferred stock. F6: Represents acquisitions by an investment vehicle between and managed by (i) an investment fund sponsored and managed by affiliates of Colony NorthStar and beneficially controlled by the reporting person through the general partner of such investment fund and (ii) a wholly-owned subsidiary of Colony Capital Operating Company, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all reported shares for purposes of Section 16 or for any other purpose. |
| OP UnitsSEC Table II · derivative / convertible security | IndirectSee footnote | 18,643,164 |
Reported balance
Holding disclosure · report date 2017-01-10 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 18,643,164 F7: The operating company units ("OP Units") represent units of membership interests in Colony Capital Operating Company, LLC (the "Operating Company"), of which Colony NorthStar is the managing member. The OP Units have the rights and preferences as set forth in the operating agreement of the Operating Company and are redeemable for shares of Class A Common Stock or cash at the discretion of Colony NorthStar. The OP Units do not have an expiration date. F8: The OP units are held by limited liability companies controlled by the reporting person. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: 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.
F3: Pursuant to the Merger Agreement, at the effective time of the Merger, each share of Colony class B common stock converted into the right to receive 1.4663 shares of Colony NorthStar's class B common stock.
F4: A holder of shares of class B common stock has the right, at the holder's option, to convert all or a portion of such holder's Class B common stock into an equal number of shares of Class A common stock
F5: Pursuant to the Merger Agreement, each share of Colony series A preferred stock, series B preferred stock and series C preferred converted into the right to receive one share of the Colony NorthStar's 8.50% Series F Cumulative Redeemable Perpetual Preferred Stock, 7.50% Series G Cumulative Redeemable Perpetual Preferred Stock and 7.125% Series H Cumulative Redeemable Perpetual Preferred Stock, respectively, having preferences, conversion and other rights, voting powers, restrictions, limitations as to dividend, qualification and terms and conditions of redemption substantially similar to those of the corresponding series of Colony preferred stock.
F6: Represents acquisitions by an investment vehicle between and managed by (i) an investment fund sponsored and managed by affiliates of Colony NorthStar and beneficially controlled by the reporting person through the general partner of such investment fund and (ii) a wholly-owned subsidiary of Colony Capital Operating Company, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all reported shares for purposes of Section 16 or for any other purpose.
F7: The operating company units ("OP Units") represent units of membership interests in Colony Capital Operating Company, LLC (the "Operating Company"), of which Colony NorthStar is the managing member. The OP Units have the rights and preferences as set forth in the operating agreement of the Operating Company and are redeemable for shares of Class A Common Stock or cash at the discretion of Colony NorthStar. The OP Units do not have an expiration date.
F8: The OP units are held by limited liability companies controlled by the reporting person.
NorthStar Realty Europe Corp.
Report date September 30, 2019 · Filed September 30, 2019
Section 16 reporting ended · disclosed 2019-09-30. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2019-09-30 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2019-09-30 · Exercise / conversion · Acquired 11,810 · Balance 11,810 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated July 3, 2019, by and among CoRE PANEURO 2019 13 S.a.r.l, Nighthawk Merger Sub LLC ("Company Merger Sub"), NorthStar Realty Europe Corp. ("NRE"), Nighthawk Partnership Merger Sub LLC ("Partnership Merger Sub") and NorthStar Realty Europe Limited Partnership ("NRELP"), on September 30, 2019, (i) NRE merged with and into Company Merger Sub, with Company Merger Sub surviving the merger (the "Company Merger") and (ii) NRELP merged with and into Partnership Merger Sub, with Partnership Merger Sub surviving the merger. F2: Represents shares of NRE's common stock, par value $0.01 per share ("NRE Common Stock"), underlying an award of restricted stock units granted in 2018 that were subject to vesting based on the achievement of certain performance criteria relating to NRE's absolute and relative total shareholder return ("TSR"). These restricted stock units became vested in full immediately prior to the effective time of the Company Merger and, pursuant to the Merger Agreement, were exchanged for cash in an amount equal to the number of shares of NRE Common Stock underlying the vested restricted stock units multiplied by the consideration payable per share of NRE Common Stock in the Company Merger pursuant to the Merger Agreement, which is approximately $17.01 (the "Per Share Consideration"). F3: (continued from footnote 2) Although no shares of NRE Common Stock were actually issued, pursuant to applicable SEC rules, this transaction is reflected on this Form 4 as (i) the conversion of the restricted stock units that had performance criteria relating to absolute TSR into shares of NRE Common Stock, (ii) the acquisition of the shares of NRE Common Stock underlying the vested restricted stock units that had performance criteria relating to relative TSR and (iii) the subsequent disposition of all of such shares in exchange for the Per Share Consideration. Row 2 · 2019-09-30 · Grant · Acquired 11,810 · Balance 23,620 F2: Represents shares of NRE's common stock, par value $0.01 per share ("NRE Common Stock"), underlying an award of restricted stock units granted in 2018 that were subject to vesting based on the achievement of certain performance criteria relating to NRE's absolute and relative total shareholder return ("TSR"). These restricted stock units became vested in full immediately prior to the effective time of the Company Merger and, pursuant to the Merger Agreement, were exchanged for cash in an amount equal to the number of shares of NRE Common Stock underlying the vested restricted stock units multiplied by the consideration payable per share of NRE Common Stock in the Company Merger pursuant to the Merger Agreement, which is approximately $17.01 (the "Per Share Consideration"). F3: (continued from footnote 2) Although no shares of NRE Common Stock were actually issued, pursuant to applicable SEC rules, this transaction is reflected on this Form 4 as (i) the conversion of the restricted stock units that had performance criteria relating to absolute TSR into shares of NRE Common Stock, (ii) the acquisition of the shares of NRE Common Stock underlying the vested restricted stock units that had performance criteria relating to relative TSR and (iii) the subsequent disposition of all of such shares in exchange for the Per Share Consideration. Row 3 · 2019-09-30 · Disposition to issuer · Disposed 23,620 · Balance 0 F4: Reflects the disposition of each outstanding share of NRE Common Stock and each vested restricted stock unit held by the reporting person in connection with the Company Merger pursuant to the Merger Agreement. |
| Common StockSEC Table I · non-derivative | IndirectBy Self as Trustee for the Family Trust of Thomas J. Barrack, Jr. Trustee U/D/T Dated March 14, 1990 | 0 |
Reported balance
After 2019-09-30 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2019-09-30 · Disposition to issuer · Disposed 38,084 · Balance 0 F4: Reflects the disposition of each outstanding share of NRE Common Stock and each vested restricted stock unit held by the reporting person in connection with the Company Merger pursuant to the Merger Agreement. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2019-09-30 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-09-30 · Exercise / conversion · Disposed 5,905 · Balance 0 F5: The restricted stock units were to be settled in shares of NRE Common Stock based upon the achievement of performance criteria through the end of a performance period scheduled to end on the earlier of February 28, 2021 or the date of a change of control of NRE. Settlement was to occur promptly following the end of the performance period or, in the event of a change of control of NRE, on the date of such change of control. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated July 3, 2019, by and among CoRE PANEURO 2019 13 S.a.r.l, Nighthawk Merger Sub LLC ("Company Merger Sub"), NorthStar Realty Europe Corp. ("NRE"), Nighthawk Partnership Merger Sub LLC ("Partnership Merger Sub") and NorthStar Realty Europe Limited Partnership ("NRELP"), on September 30, 2019, (i) NRE merged with and into Company Merger Sub, with Company Merger Sub surviving the merger (the "Company Merger") and (ii) NRELP merged with and into Partnership Merger Sub, with Partnership Merger Sub surviving the merger.
F2: Represents shares of NRE's common stock, par value $0.01 per share ("NRE Common Stock"), underlying an award of restricted stock units granted in 2018 that were subject to vesting based on the achievement of certain performance criteria relating to NRE's absolute and relative total shareholder return ("TSR"). These restricted stock units became vested in full immediately prior to the effective time of the Company Merger and, pursuant to the Merger Agreement, were exchanged for cash in an amount equal to the number of shares of NRE Common Stock underlying the vested restricted stock units multiplied by the consideration payable per share of NRE Common Stock in the Company Merger pursuant to the Merger Agreement, which is approximately $17.01 (the "Per Share Consideration").
F3: (continued from footnote 2) Although no shares of NRE Common Stock were actually issued, pursuant to applicable SEC rules, this transaction is reflected on this Form 4 as (i) the conversion of the restricted stock units that had performance criteria relating to absolute TSR into shares of NRE Common Stock, (ii) the acquisition of the shares of NRE Common Stock underlying the vested restricted stock units that had performance criteria relating to relative TSR and (iii) the subsequent disposition of all of such shares in exchange for the Per Share Consideration.
F4: Reflects the disposition of each outstanding share of NRE Common Stock and each vested restricted stock unit held by the reporting person in connection with the Company Merger pursuant to the Merger Agreement.
F5: The restricted stock units were to be settled in shares of NRE Common Stock based upon the achievement of performance criteria through the end of a performance period scheduled to end on the earlier of February 28, 2021 or the date of a change of control of NRE. Settlement was to occur promptly following the end of the performance period or, in the event of a change of control of NRE, on the date of such change of control.
Starwood Waypoint Homes
Report date June 09, 2017 · Filed June 09, 2017
Section 16 reporting ended · disclosed 2017-06-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares, par value $0.01 per shareSEC Table I · non-derivative | IndirectBy controlled entities | 0 |
Reported balance
After 2017-06-09 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2017-06-09 · Sale · Disposed 3,897,220 · Balance 0 F1: In connection with the closing of the Offering (as defined below), Mr. Barrack submitted his resignation from the Board of Trustees of the Issuer effective June 9, 2017. Accordingly, Mr. Barrack is no longer a Trustee or significant shareholder for purposes of Section 16 reporting as of June 9, 2017. F2: On June 5, 2017, Colony Distressed Credit Fund II, L.P., ColCo Strategic Partners, L.P., Colony Capital CAH, L.P., Colony AH Member, LLC, and CCCAH Management Partners, LLC (the "Selling Shareholders") entered into an underwriting agreement (the "Underwriting Agreement") with the Issuer, Colony Starwood Homes Partnership, L.P., Merrill Lynch, Pierce, Fenner & Smith Incorporated (the "Underwriter") and the selling shareholders party thereto. Pursuant to the Underwriting Agreement, the Issuer agreed to sell 11,600,000 of the Issuer's common shares and the selling shareholders party thereto agreed to sell 11,433,187 common shares of the Issuer (the "Shares") in an underwritten offering, of which Colony Distressed Credit Fund II, L.P. agreed to sell 1,471,096 Shares, ColCo Strategic Partners, L.P. agreed to sell 1,332,298 Shares, F3: (Continued from footnote 2) Colony Capital CAH, L.P. agreed to sell 26,543 Shares, Colony AH Member, LLC agreed to sell 1,022,448 Shares, and CCCAH Management Partners, LLC agreed to sell 44,835 Shares (the "Offering"). F4: All material contingencies set forth in the Underwriting Agreement were satisfied and the Offering closed on June 9, 2017. F5: Mr. Barrack is the direct or indirect control person of the general partner or the managing member, as the case may be, of each of Colony Distressed Credit Fund II, L.P., ColCo Strategic Partners, L.P., Colony Capital CAH, L.P., Colony AH Member, LLC, and CCCAH Management Partners, LLC. Following the closing of the Offering, none of Colony Distressed Credit Fund II, L.P., ColCo Strategic Partners, L.P., Colony Capital CAH, L.P., Colony AH Member, LLC and CCCAH Management Partners, LLC beneficially own any common shares of the Issuer. F6: The Reporting Person disclaims beneficial ownership of the Shares reported herein except to the extent of his pecuniary interest in such securities. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the closing of the Offering (as defined below), Mr. Barrack submitted his resignation from the Board of Trustees of the Issuer effective June 9, 2017. Accordingly, Mr. Barrack is no longer a Trustee or significant shareholder for purposes of Section 16 reporting as of June 9, 2017.
F2: On June 5, 2017, Colony Distressed Credit Fund II, L.P., ColCo Strategic Partners, L.P., Colony Capital CAH, L.P., Colony AH Member, LLC, and CCCAH Management Partners, LLC (the "Selling Shareholders") entered into an underwriting agreement (the "Underwriting Agreement") with the Issuer, Colony Starwood Homes Partnership, L.P., Merrill Lynch, Pierce, Fenner & Smith Incorporated (the "Underwriter") and the selling shareholders party thereto. Pursuant to the Underwriting Agreement, the Issuer agreed to sell 11,600,000 of the Issuer's common shares and the selling shareholders party thereto agreed to sell 11,433,187 common shares of the Issuer (the "Shares") in an underwritten offering, of which Colony Distressed Credit Fund II, L.P. agreed to sell 1,471,096 Shares, ColCo Strategic Partners, L.P. agreed to sell 1,332,298 Shares,
F3: (Continued from footnote 2) Colony Capital CAH, L.P. agreed to sell 26,543 Shares, Colony AH Member, LLC agreed to sell 1,022,448 Shares, and CCCAH Management Partners, LLC agreed to sell 44,835 Shares (the "Offering").
F4: All material contingencies set forth in the Underwriting Agreement were satisfied and the Offering closed on June 9, 2017.
F5: Mr. Barrack is the direct or indirect control person of the general partner or the managing member, as the case may be, of each of Colony Distressed Credit Fund II, L.P., ColCo Strategic Partners, L.P., Colony Capital CAH, L.P., Colony AH Member, LLC, and CCCAH Management Partners, LLC. Following the closing of the Offering, none of Colony Distressed Credit Fund II, L.P., ColCo Strategic Partners, L.P., Colony Capital CAH, L.P., Colony AH Member, LLC and CCCAH Management Partners, LLC beneficially own any common shares of the Issuer.
F6: The Reporting Person disclaims beneficial ownership of the Shares reported herein except to the extent of his pecuniary interest in such securities.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 10, 2017 Filed Jan 12, 2017 21:49 UTC | Colony Capital, Inc. CLNY · Entity 179683 | Disposition to issuerSeries A Preferred Stock | 373,784 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-17-000139 · edgar.xml · nonDerivative · entry 3 BARRACK THOMAS JR · CIK 0001076343 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Managed Investment Vehicle Disclosed balance after: 0 F5 · shares: Pursuant to the Merger Agreement, each share of Colony series A preferred stock, series B preferred stock and series C preferred converted into the right to receive one share of the Colony NorthStar's 8.50% Series F Cumulative Redeemable Perpetual Preferred Stock, 7.50% Series G Cumulative Redeemable Perpetual Preferred Stock and 7.125% Series H Cumulative Redeemable Perpetual Preferred Stock, respectively, having preferences, conversion and other rights, voting powers, restrictions, limitations as to dividend, qualification and terms and conditions of redemption substantially similar to those of the corresponding series of Colony preferred stock. F5 · price: Pursuant to the Merger Agreement, each share of Colony series A preferred stock, series B preferred stock and series C preferred converted into the right to receive one share of the Colony NorthStar's 8.50% Series F Cumulative Redeemable Perpetual Preferred Stock, 7.50% Series G Cumulative Redeemable Perpetual Preferred Stock and 7.125% Series H Cumulative Redeemable Perpetual Preferred Stock, respectively, having preferences, conversion and other rights, voting powers, restrictions, limitations as to dividend, qualification and terms and conditions of redemption substantially similar to those of the corresponding series of Colony preferred stock. F6 · ownership.nature: Represents acquisitions by an investment vehicle between and managed by (i) an investment fund sponsored and managed by affiliates of Colony NorthStar and beneficially controlled by the reporting person through the general partner of such investment fund and (ii) a wholly-owned subsidiary of Colony Capital Operating Company, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| January 10, 2017 Filed Jan 12, 2017 21:49 UTC | Colony Capital, Inc. CLNY · Entity 179683 | Disposition to issuerClass A Common Stock | 912,040 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-17-000139 · edgar.xml · nonDerivative · entry 1 BARRACK THOMAS JR · CIK 0001076343 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Family Trust 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. Read SEC document |
| January 02, 2017 Filed Jan 3, 2017 21:39 UTC | Colony Capital, Inc. CLNY · Entity 179683 | Tax withholdingClass A Common Stock | 52,253 | $20.25 | $1,058,123.25 |
DisclosureSEC source: 0001123292-17-000015 · edgar.xml · nonDerivative · entry 4 BARRACK THOMAS JR · CIK 0001076343 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Family Trust Disclosed balance after: 912,040 F3 · 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. Read SEC document |
| January 02, 2017 Filed Jan 3, 2017 21:39 UTC | Colony Capital, Inc. CLNY · Entity 179683 | GrantClass A Common Stock | 179,487 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-17-000015 · edgar.xml · nonDerivative · entry 3 BARRACK THOMAS JR · CIK 0001076343 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Family Trust Disclosed balance after: 964,293 F2 · kind: The acquisition represents the receipt of Class A common stock granted by the Issuer for services provided by Mr. Barrack to the Issuer. Read SEC document |
| January 02, 2017 Filed Jan 12, 2017 21:49 UTC | Colony Capital, Inc. CLNY · Entity 179683 | Disposition to issuerClass B Common Stock | 525,159 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-17-000139 · edgar.xml · nonDerivative · entry 2 BARRACK THOMAS JR · CIK 0001076343 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Family Trust Disclosed balance after: 0 F3 · shares: Pursuant to the Merger Agreement, at the effective time of the Merger, each share of Colony class B common stock converted into the right to receive 1.4663 shares of Colony NorthStar's class B common stock. F4 · price: A holder of shares of class B common stock has the right, at the holder's option, to convert all or a portion of such holder's Class B common stock into an equal number of shares of Class A common stock Read SEC document |
| December 30, 2016 Filed Jan 3, 2017 21:39 UTC | Colony Capital, Inc. CLNY · Entity 179683 | GiftOP Units · Derivative | 70,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-17-000015 · edgar.xml · derivative · entry 5 BARRACK THOMAS JR · CIK 0001076343 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 18,643,164 Underlying: Class A Common Stock · 70,000 shares Expires not disclosed F5 · derivative.exercise_price: The OP Units are redeemable for shares of Class A Common Stock or cash at the discretion of the Issuer. The OP Units do not have expiration dates. F1 · kind: In connection with a charitable donation of 70,000 OP Units owned indirectly by Mr. Mark M. Hedstrom, in accordance with the terms of the Class B common stock owned by Mr. Barrack, 1,972 shares of Class B common stock were required to be converted to Class A common stock. F5 · derivative.exercise_date: The OP Units are redeemable for shares of Class A Common Stock or cash at the discretion of the Issuer. The OP Units do not have expiration dates. F5 · derivative.expiration_date: The OP Units are redeemable for shares of Class A Common Stock or cash at the discretion of the Issuer. The OP Units do not have expiration dates. F4 · ownership.nature: The OP Units are held by limited liability companies controlled by the reporting person. The reporting person disclaims beneficial ownership of the securities disposed of except to the extent of his pecuniary interest therein. Read SEC document |
| December 30, 2016 Filed Jan 3, 2017 21:39 UTC | Colony Capital, Inc. CLNY · Entity 179683 | OtherClass A Common Stock | 1,972 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-17-000015 · edgar.xml · nonDerivative · entry 2 BARRACK THOMAS JR · CIK 0001076343 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Family Trust Disclosed balance after: 784,806 F1 · kind: In connection with a charitable donation of 70,000 OP Units owned indirectly by Mr. Mark M. Hedstrom, in accordance with the terms of the Class B common stock owned by Mr. Barrack, 1,972 shares of Class B common stock were required to be converted to Class A common stock. F1 · price: In connection with a charitable donation of 70,000 OP Units owned indirectly by Mr. Mark M. Hedstrom, in accordance with the terms of the Class B common stock owned by Mr. Barrack, 1,972 shares of Class B common stock were required to be converted to Class A common stock. Read SEC document |
| December 30, 2016 Filed Jan 3, 2017 21:39 UTC | Colony Capital, Inc. CLNY · Entity 179683 | OtherClass B Common Stock | 1,972 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-17-000015 · edgar.xml · nonDerivative · entry 1 BARRACK THOMAS JR · CIK 0001076343 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Family Trust Disclosed balance after: 525,159 F1 · kind: In connection with a charitable donation of 70,000 OP Units owned indirectly by Mr. Mark M. Hedstrom, in accordance with the terms of the Class B common stock owned by Mr. Barrack, 1,972 shares of Class B common stock were required to be converted to Class A common stock. F1 · price: In connection with a charitable donation of 70,000 OP Units owned indirectly by Mr. Mark M. Hedstrom, in accordance with the terms of the Class B common stock owned by Mr. Barrack, 1,972 shares of Class B common stock were required to be converted to Class A common stock. Read SEC document |
| December 29, 2016 Filed Jan 3, 2017 16:39 UTC | Starwood Waypoint Homes SFR · Entity 171717 | OtherCommon Shares, par value $0.01 per share | 123,336 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-000074 · doc4.xml · nonDerivative · entry 1 BARRACK THOMAS JR · CIK 0001076343 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By controlled entities Disclosed balance after: 7,978,668 F1 · kind: On December 29, 2016, Colony AH Member, LLC distributed 88,399 Common Shares, par value $0.01 per share, of the Issuer (the "Shares") to certain of its indirect members in order to satisfy certain redemption requests made by such members. On December 29, 2016, CCCAH Management Partners, LLC distributed 34,937 Shares to certain of its members in order to satisfy certain redemption requests made by such members. F2 · ownership.nature: Mr. Barrack is the direct or indirect control person of the general partner or the managing member, as the case may be, of each of Colony Distressed Credit Fund II, L.P., ColCo Strategic Partners, L.P., Colony Capital CAH, L.P., Colony AH Member, LLC, and CCCAH Management Partners, LLC. Following such transfers set forth above: (i) Colony Distressed Credit Fund II, L.P. beneficially owned 2,951,315 Shares, (ii) ColCo Strategic Partners, L.P. beneficially owned 2,673,215 Shares, (iii) Colony Capital CAH, L.P. beneficially owned 53,464 Shares, (iv) Colony AH Member, LLC beneficially owned 2,200,368 Shares, and (v) CCCAH Management Partners, LLC beneficially owned 100,306 Shares. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the Shares reported herein except to the extent of his pecuniary interest in such securities. Read SEC document |
| October 05, 2016 Filed Oct 7, 2016 16:15 UTC | Starwood Waypoint Homes SFR · Entity 171717 | OtherCommon Shares, per value $0.01 per share | 27,575,055 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-16-082291 · doc1.xml · nonDerivative · entry 1 BARRACK THOMAS JR · CIK 0001076343 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By controlled entities Disclosed balance after: 8,102,004 F1 · kind: On October 5, 2016, each of Series X Holdco, LLC, a Delaware limited liability company ("Series X"), and Manager Holdco, LLC, a Delaware limited liability company ("Manager Holdco"), transferred all of its Common Shares, par value $0.01 per share, of the Issuer (the "Shares") to all its members on a pro rata basis and without consideration pursuant to the terms of its limited liability company agreement. Subsequently on October 5, 2016, in a series of transfers, certain entities controlled by the Reporting Person, each with a direct or indirect interest in Series X or Manager Holdco, transferred all of its Shares to all of its members or limited partners, as applicable, on a pro rata basis and without consideration pursuant to the terms of its limited liability company agreement or limited partnership agreement, as applicable. (Continued in footnote 2) F2 · kind: Following on October 5, 2016, each of Colony American Homes Holdings I, L.P., a Delaware limited partnership, Colony American Homes Holdings II, L.P., a Cayman Islands exempted limited partnership, Colony American Homes Holdings III, L.P., a Delaware limited partnership, and Colony American Homes Holdings IV, L.P., a Cayman Islands exempted limited partnership transferred all of its Shares to all its limited partners on a pro rata basis and without consideration pursuant to the terms of its partnership agreement. (Continued in footnote 3) F3 · kind: Following such transfers previously described: (i) Series X Holdco, LLC beneficially owned no Shares, (ii) Manager Holdco, LLC beneficially owned no Shares, (iii) Colony American Homes Holdings I, L.P. beneficially owned no Shares, (iv) Colony American Homes Holdings II, L.P. beneficially owned no Shares, (v) Colony American Homes Holdings III, L.P. beneficially owned no Shares, (vi) Colony American Homes Holdings IV, L.P. beneficially owned no Shares, (vii) Colony Distressed Credit Fund II, L.P. beneficially owned 2,951,315 Shares, (viii) ColCo Strategic Partners, L.P. beneficially owned 2,673,215 Shares, (ix) Colony Capital CAH, L.P. beneficially owned 53,464 Shares, (x) Colony AH Member, LLC beneficially owned 2,288,767 Shares, and (xi) CCCAH Management Partners, LLC beneficially owned 135,243 Shares. The aggregate beneficial ownership of the entities described herein no longer exceeds 10%. F4 · ownership.nature: Mr. Barrack is the direct or indirect control person of the general partner or the managing member, as the case may be, of each of Series X Holdco, LLC, Manager Holdco, LLC, Colony American Homes Holdings I, L.P., Colony American Homes Holdings II, L.P., Colony American Homes Holdings III, L.P., Colony American Homes Holdings IV, L.P., Colony Distressed Credit Fund II, L.P., ColCo Strategic Partners, L.P., Colony Capital CAH, L.P., Colony AH Member, LLC, and CCCAH Management Partners, LLC. F5 · ownership.nature: The Reporting Person disclaims beneficial ownership of the Shares reported herein except to the extent of his pecuniary interest in such securities. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.