Fortress Investment Group LLC Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 27 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-11-07: Reporting owner Konawalik John; Form 4; Security Restricted Share Unit; Transaction C Conversion of derivative security.
- 2011-08-26: Reporting owner MUDD DANIEL H; Form 4; Security Restricted Share Unit; Transaction Holding.
- 2011-08-26: Reporting owner Bass Daniel; Form 4; Security Restricted Share Units; Transaction Holding.
- 2011-08-26: Reporting owner Brooks David; Form 4; Security Restricted Share Units; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-11-07 | Konawalik John Officer (Principal Accounting Officer) | 4 | Restricted Share Unit Derivative · Direct | C Conversion of derivative security | −57,607 111,824 owned after | $0.00 | 2011-11-09 | |
| 2011-08-26 holding as of filing | MUDD DANIEL H Director, Officer (Chief Executive Officer) | 4 | Restricted Share Unit Derivative · Direct | Holding | 5,792,682 owned after | no price filed | 2011-08-26 | |
| 2011-08-26 holding as of filing | Bass Daniel Officer (Chief Financial Officer) | 4 | Restricted Share Units Derivative · Direct | Holding | 381,272 owned after | no price filed | 2011-08-26 | |
| 2011-08-26 holding as of filing | Brooks David Officer (VP, General Counsel, Secretary) | 4 | Restricted Share Units Derivative · Direct | Holding | 224,915 owned after | no price filed | 2011-08-26 | |
| 2011-08-19 | Brooks David Officer (VP, General Counsel, Secretary) | 4 | Restricted Share Units Derivative · Direct | C Conversion of derivative security | −45,455 224,915 owned after | $0.00 | 2011-08-24 | |
| 2011-08-19 | MUDD DANIEL H Director, Officer (Chief Executive Officer) | 4 | Restricted Share Units Derivative · Direct | C Conversion of derivative security | −1,090,902 5,792,682 owned after | $0.00 | 2011-08-24 | |
| 2011-08-19 | Bass Daniel Officer (Chief Financial Officer) | 4 | Restricted Share Units Derivative · Direct | C Conversion of derivative security | −56,046 381,272 owned after | $0.00 | 2011-08-24 | |
| 2011-05-12 holding as of filing | Bass Daniel Officer (Chief Financial Officer) | 4 | Restricted Share Units (unvested) Derivative · Direct | Holding | 354,968 owned after | no price filed | 2011-05-12 | |
| 2011-05-12 holding as of filing | Brooks David Officer (VP, General Counsel, Secretary) | 4 | Restricted Share Units (unvested) Derivative · Direct | Holding | 203,019 owned after | no price filed | 2011-05-12 | |
| 2011-03-03 holding as of filing | Konawalik John Officer (Principal Acc. O & Controller) | 3 | Restricted Share Units (??RSUs??) of FIG Derivative · Direct | Holding | no price filed | 2011-03-03 | ||
| 2011-02-24 holding as of filing | Novogratz Michael Director, Officer (President and Director), 10% Owner | 4 | Fortress Operating Group Units Derivative · Indirect · (m) | Holding | 17,715,000 owned after | no price filed | 2011-02-24 | |
| 2011-02-24 holding as of filing | Novogratz Michael Director, Officer (President and Director), 10% Owner | 4 | Fortress Operating Group Units Derivative · Direct · (m) | Holding | 35,538,113 owned after | no price filed | 2011-02-24 | |
| 2011-02-23 | Novogratz Michael Director, Officer (President and Director), 10% Owner | 4 | Fortress Operating Group Units Derivative · Indirect · By 2008 Grantor Retained Annuity Trust | G Bona fide gift | −9,560,000 0 owned after | $0.00 | 2011-02-24 | |
| 2011-02-23 | Novogratz Michael Director, Officer (President and Director), 10% Owner | 4 | Fortress Operating Group Units Derivative · Indirect · By Family Trust | G Bona fide gift | +9,560,000 9,560,000 owned after | $0.00 | 2011-02-24 | |
| 2011-02-23 | Novogratz Michael Director, Officer (President and Director), 10% Owner | 4 | Fortress Operating Group Units Derivative · Indirect · By 2008 Grantor Retained Annuity Trust | G Bona fide gift | −2,085,000 0 owned after | $0.00 | 2011-02-24 | |
| 2011-02-23 | Novogratz Michael Director, Officer (President and Director), 10% Owner | 4 | Fortress Operating Group Units Derivative · Indirect · By Family Trust | G Bona fide gift | +2,085,000 2,085,000 owned after | $0.00 | 2011-02-24 | |
| 2011-01-04 | Bass Daniel Officer (Chief Financial Officer) | 4 | Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −54,545 354,968 owned after | $0.00 | 2011-01-06 | |
| 2011-01-04 | Brooks David Officer (VP, Gen Counsel & Secretary) | 4 | Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,455 203,019 owned after | $0.00 | 2011-01-06 | |
| 2011-01-04 | MUDD DANIEL H Officer (Chief Executive Officer) | 4 | Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +545,455 545,455 owned after | $0.00 | 2011-01-06 | |
| 2011-01-04 | Brown Jonathan Officer (Chief Accounting Officer) | 4 | Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +36,364 136,364 owned after | $0.00 | 2011-01-06 | |
| 2011-01-04 holding as of filing | Briger Peter L JR Director, Officer (Principal and Director), 10% Owner | 4 | Fortress Operating Group Units Derivative · Indirect · By LLC | Holding | 50,691,964 owned after | no price filed | 2011-01-04 | |
| 2011-01-04 holding as of filing | Briger Peter L JR Director, Officer (Principal and Director), 10% Owner | 4 | Fortress Operating Group Units Derivative · Indirect · By 2010 Grantor Retained Annuity Trust | Holding | 12,396,000 owned after | no price filed | 2011-01-04 | |
| 2011-01-02 | Bass Daniel Officer (Chief Financial Officer) | 4 | Restricted Share Units Derivative · Direct | C Conversion of derivative security | −7,353 300,423 owned after | $0.00 | 2011-01-06 | |
| 2011-01-02 | Brooks David Officer (VP, Gen Counsel & Secretary) | 4 | Restricted Share Units Derivative · Direct | C Conversion of derivative security | −7,353 157,564 owned after | $0.00 | 2011-01-06 | |
| 2011-01-01 | Bass Daniel Officer (Chief Financial Officer) | 4 | Restricted Share Units Derivative · Direct | C Conversion of derivative security | −142,857 307,776 owned after | $0.00 | 2011-01-06 | |
| 2011-01-01 | Brooks David Officer (VP, Gen Counsel & Secretary) | 4 | Restricted Share Units Derivative · Direct | C Conversion of derivative security | −71,429 164,917 owned after | $0.00 | 2011-01-06 | |
| 2011-01-01 | Brown Jonathan Officer (Chief Accounting Officer) | 4 | Restricted Share Units Derivative · Direct | C Conversion of derivative security | −50,000 100,000 owned after | $0.00 | 2011-01-06 |