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: 20 rows in 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-12-21: Reporting owner Aldel LLC | KAUFFMAN ROBERT I; Form 4; Security Fortress Operating Group Units; Transaction S Open market or private sale of non-derivative or derivative security.
- 2012-12-18: Reporting owner Novogratz Michael; Form 5; Security Fortress Operating Group Units; Transaction G Bona fide gift.
- 2012-12-18: Reporting owner Novogratz Michael; Form 5; Security Fortress Operating Group Units; Transaction G Bona fide gift.
- 2012-12-18: Reporting owner Briger Peter L JR; Form 5; Security Fortress Operating Group Units; Transaction G Bona fide gift.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-12-21 | Aldel LLC | KAUFFMAN ROBERT I Director | Director, Officer (President-Europe and Director), 10% Owner | 4 | Fortress Operating Group Units Derivative · Indirect · By Aldel LLC | S Open market or private sale of non-derivative or derivative security | −49,189,480 0 owned after | $3.50 | 2012-12-26 | |
| 2012-12-18 | Novogratz Michael Director, Officer (President and Director), 10% Owner | 5 | Fortress Operating Group Units Derivative · Direct · (m) | G Bona fide gift | −2,358,949 42,970,021 owned after | $0.00 | 2013-01-04 | |
| 2012-12-18 | Novogratz Michael Director, Officer (President and Director), 10% Owner | 5 | Fortress Operating Group Units Derivative · Indirect · (m) | G Bona fide gift | +2,358,949 2,358,949 owned after | $0.00 | 2013-01-04 | |
| 2012-12-18 | Briger Peter L JR Director, Officer (President and Director), 10% Owner | 5 | Fortress Operating Group Units Derivative · Indirect · (m) | G Bona fide gift | −3,428,000 0 owned after | $0.00 | 2013-01-04 | |
| 2012-12-18 | Briger Peter L JR Director, Officer (President and Director), 10% Owner | 5 | Fortress Operating Group Units Derivative · Indirect · (m) | G Bona fide gift | +3,428,000 3,428,000 owned after | $0.00 | 2013-01-04 | |
| 2012-12-18 | Briger Peter L JR Director, Officer (President and Director), 10% Owner | 5 | Fortress Operating Group Units Derivative · Direct · (m) | G Bona fide gift | −2,358,949 6,857,711 owned after | $0.00 | 2013-01-04 | |
| 2012-12-18 | Briger Peter L JR Director, Officer (President and Director), 10% Owner | 5 | Fortress Operating Group Units Derivative · Indirect · (m) | G Bona fide gift | +2,358,949 2,358,949 owned after | $0.00 | 2013-01-04 | |
| 2012-10-26 | Konawalik John Officer (Principal Accounting Officer) | 4 | Restricted Share Unit (RSU) Derivative · Direct | C Conversion of derivative security | −55,912 126,533 owned after | $0.00 | 2012-10-29 | |
| 2012-08-06 | Bass Daniel Officer (Chief Financial Officer) | 4 | Restricted Share Units Derivative · Direct | C Conversion of derivative security | −55,499 260,308 owned after | $0.00 | 2012-08-09 | |
| 2012-08-06 | Brooks David Officer (VP, General Counsel, Secretary) | 4/A | Restricted Share Units Derivative · Direct | C Conversion of derivative security | −44,999 171,755 owned after | $0.00 | 2012-08-09 | |
| 2012-07-31 | Novogratz Michael Director, Officer (Principal), 10% Owner | 4 | Fortress Operating Group Units Derivative · Indirect · Owned through family trusts | J Other acquisition or disposition (describe transaction) | −1,857,143 63,040,970 owned after | $0.00 | 2012-08-02 | |
| 2012-06-19 | Novogratz Michael Director, Officer (President and Director), 10% Owner | 5 | Fortress Operating Group Units Derivative · Indirect · (m) | G Bona fide gift | −6,067,000 0 owned after | $0.00 | 2013-01-04 | |
| 2012-06-19 | Novogratz Michael Director, Officer (President and Director), 10% Owner | 5 | Fortress Operating Group Units Derivative · Indirect · (m) | G Bona fide gift | +6,067,000 6,067,000 owned after | $0.00 | 2013-01-04 | |
| 2012-01-31 | Konawalik John Officer (Principal Accounting Officer) | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +70,621 182,445 owned after | $0.00 | 2012-03-30 | |
| 2012-01-31 | Bass Daniel Officer (Chief Financial Officer) | 4 | Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +84,746 315,807 owned after | $0.00 | 2012-03-27 | |
| 2012-01-31 | 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) | +70,621 216,754 owned after | $0.00 | 2012-03-27 | |
| 2012-01-02 | Brooks David Officer (VP, Gen Counsel & Secretary) | 4 | Restricted Share Units Derivative · Direct | C Conversion of derivative security | −7,353 146,133 owned after | $0.00 | 2012-01-27 | |
| 2012-01-02 | Bass Daniel Officer (Chief Financial Officer) | 4 | Restricted Share Units Derivative · Direct | C Conversion of derivative security | −7,353 231,061 owned after | $0.00 | 2012-01-27 | |
| 2012-01-01 | Brooks David Officer (VP, Gen Counsel & Secretary) | 4 | Restricted Share Units Derivative · Direct | C Conversion of derivative security | −71,429 153,486 owned after | $0.00 | 2012-01-27 | |
| 2012-01-01 | Bass Daniel Officer (Chief Financial Officer) | 4 | Restricted Share Units Derivative · Direct | C Conversion of derivative security | −142,858 238,414 owned after | $0.00 | 2012-01-27 |