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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
NOMURA INVESTMENT MANAGERS U.S.A.,INC. C/O NOMURA HOLDINGS, INC., 1-9-1, NIHONBASHI, CHUO-KU TOKYO, M0 103-8645 |
X | X | See Remarks |
/s/ Shigeki Fujitani on behalf of Nomura Investment Managers U.S.A., Inc. | 02/15/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | As of the date hereof, each director of Fortress has been granted 16,216 restricted Class A shares as part of Fortress' director compensation arrangements. Because Mr. Shibata serves on the board of Fortress as the designee of the Reporting Person, he cannot personally accept compensation for his services. All compensation, including Class A shares, for Mr. Shibata's services has been paid directly to the Reporting Person, his employer. |
Remarks: The Reporting Person may be deemed a director by virtue of its right to cause the board of directors (the "Board") of the Issuer to nominate individuals designated by the Reporting Person such that the Reporting Person will have one designee to the Board. Takumi Shibata currently serves as the Reporting Person's designee on the Board. |