SEC Filings


Form 8-K
COLONY CAPITAL, INC. filed this Form 8-K on 11/21/2017
Document Outline
Entire Document (4386.4 KB)
Subdocument 1 - 8-K - FORM 8-K
Page 1 - UNITED STATES
Page 2 - N/A
Page 3 - N/A
Page 4 - Cautionary Statement Regarding Forward-Looking Statements
Page 5 - Contacts:
Page 6 - EXHIBIT INDEX
Page 7 - SIGNATURES
Subdocument 2 - EX-2.1 - EX-2.1
Page 1 - Exhibit 2.1
Page 2 - TABLE OF CONTENTS
Page 3 - N/A
Page 4 - N/A
Page 5 - AMENDED AND RESTATED MASTER COMBINATION AGREEMENT, dated as of November 20, 2017 (this Agreement ),
Page 6 - Transactions .
Page 7 - Code ), (ii) each of the REIT Mergers will qualify as a reorganization within the meaning of Section
Page 8 - Code has the meaning assigned in the Recitals.
Page 9 - Contributed Entity Material Contract has the meaning assigned in Section 4.03(j)(2).
Page 10 - Contributed Entity Title Insurance Policy means each policy of title insurance insuring the Contribu
Page 11 - Form S-11 means the Registration Statement on Form S-11 pursuant to which shares of Newco Class A Co
Page 12 - Knowledge means the actual knowledge of, (a) in the case of the Nova I Parties, the individuals list
Page 13 - Newco Common Stock means, collectively, the Newco Class A Common Stock, the Newco Class B-1 Common S
Page 14 - Nova I Go Shop Bidder has the meaning assigned in Section 6.01(a).
Page 15 - Nova I Merger Effective Time has the meaning assigned in Section 2.06(a).
Page 16 - Nova I Termination Fee means an amount of cash equal to (a) $21,709,624 solely in the event that the
Page 17 - Nova II Common Stock means, collectively, the Nova II Class A Common Stock and the Nova II Class T C
Page 18 - Nova II Material Contract has the meaning assigned in Section 4.02(l)(2).
Page 19 - Nova II Tax Protection Agreements means any agreement to which Nova II or any Nova II Subsidiary is
Page 20 - party means Nova I, Nova I OP, Nova II, Nova II OP, Constellation OP, RED REIT, Newco and Newco OP,
Page 21 - RED REIT Subsidiary Contributors means any Subsidiary of RED REIT that directly owns the Equity Inte
Page 22 - Tax and Taxes means all federal, state, local or foreign taxes, charges, fees, levies or other asses
Page 23 - ARTICLE II
Page 24 - Equity Consideration. In consideration for the RED REIT Contribution, Newco OP shall issue to RED RE
Page 25 - Closing Date ). The parties intend that the Constellation OP Contribution, the RED REIT Contribution
Page 26 - Nova I Merger Consideration ).
Page 27 - Cancellation and Redemption of Certain Nova I OP Units and Nova II OP Units.
Page 28 - Treatment of Nova II Restricted Common Stock. At the Nova II Merger Effective Time: (i) each share o
Page 29 - Exchange Fund ). The Exchange Agent shall invest any cash included in the Exchange Fund as directed
Page 30 - N/A
Page 31 - ARTICLE IV
Page 32 - Power and Authority. Each Nova I Party and each Nova I Subsidiary has the corporate (or comparable)
Page 33 - Nova I SEC Documents and Nova I Financial Statements.
Page 34 - Absence of Certain Changes. Since December 31, 2016 through the date of this Agreement, Nova I and t
Page 35 - Litigation. There is no suit, action, investigation or proceeding pending or, to Nova I s Knowledge,
Page 36 - Nova I Material Contract ; provided, that no agreement, contract, commitment or understanding with r
Page 37 - N/A
Page 38 - Mortgage Backed Securities. Section 4.01(o) of the Nova I Disclosure Letter sets forth a list of the
Page 39 - Nova I Principal MBS Agreements ) or (2) has received any notice of any default by any master or spe
Page 40 - PE Investments. Section 4.01(q) of the Nova I Disclosure Letter sets forth a list of the Equity Inte
Page 41 - Nova I Major Leases ). Nova I has made available to each of the Other Parties complete and correct c
Page 42 - Investment Company Act. Neither Nova I nor any of the Nova I Subsidiaries is, or on the Closing Date
Page 43 - Nova I Environmental Permits ); (ii) all Nova I Environmental Permits are in full force and effect a
Page 44 - Power and Authority. Each Nova II Party and each Nova II Subsidiary has the corporate (or comparable
Page 45 - Approvals; No Defaults.
Page 46 - Absence of Certain Changes. Since December 31, 2016 through the date of this Agreement, Nova II and
Page 47 - No Undisclosed Liabilities. Except (i) as reflected or adequately reserved against on the consolidat
Page 48 - Nova II Material Contract. Except as has not resulted in, and would not reasonably be expected to re
Page 49 - N/A
Page 50 - N/A
Page 51 - Mortgage Backed Securities. Section 4.02(o) of the Nova II Disclosure Letter sets forth a list of th
Page 52 - PE Investments. Section 4.02(q) of the Nova II Disclosure Letter sets forth a list of the Equity Int
Page 53 - Intellectual Property. Nova II and the Nova II Subsidiaries have sufficient rights to use all materi
Page 54 - Investment Company Act. Neither Nova II nor any of the Nova II Subsidiaries is, or on the Closing Da
Page 55 - Reorganization. Nova II has not taken any action and is not aware of any fact or circumstance that c
Page 56 - Due Authorization and Execution.
Page 57 - Contributed Entities.
Page 58 - No Undisclosed Liabilities. Except (i) as reflected or adequately reserved against on the consolidat
Page 59 - Material Contracts; Defaults.
Page 60 - Employees. None of the Contributed Entities or any Contributed Entity Subsidiaries have, or have eve
Page 61 - N/A
Page 62 - Mortgage Backed Securities. Section 4.03(m) of the Constellation OP Disclosure Letter sets forth a l
Page 63 - PE Investments. Section 4.03(o) of the Constellation OP Disclosure Letter sets forth a list of the E
Page 64 - Contributed Entity PE Investments ). Except as has not resulted in, and would not reasonably be expe
Page 65 - Contributed Entity Major Leases ). Constellation OP has made available to each of the Other Parties
Page 66 - Information Supplied. None of the information supplied or to be supplied in writing by or on behalf
Page 67 - Capitalization.
Page 68 - Financial Advisors. Subject to Section 9.06, neither Newco nor any of its directors, officers or emp
Page 69 - ARTICLE V
Page 70 - OP Units. Engage in any reorganization, recapitalization, reclassification, unit split, reverse unit
Page 71 - Adverse Actions. Notwithstanding anything herein to the contrary (except in accordance with Sections
Page 72 - Liquidation. Authorize, recommend, propose or announce an intention to adopt a plan of complete or p
Page 73 - Acquisitions and Investments. With respect to the Contributed Entities, acquire the assets, business
Page 74 - Commitments. Enter into any contract with respect to, or otherwise agree or commit to do, any of the
Page 75 - Lien. Create any Lien over any material asset or assets of any Contributed Entity, other than Permit
Page 76 - ARTICLE VI
Page 77 - N/A
Page 78 - No Change of Recommendation. Except as expressly provided in Sections 6.01(d), 6.01(e) and 8.03(d),
Page 79 - Nova I Change of Recommendation; Right to Terminate. Notwithstanding anything in this Agreement to t
Page 80 - Nova II Acquisition Proposals.
Page 81 - N/A
Page 82 - No Change of Recommendation. Except as expressly provided in Sections 6.02(d), 6.02(e) and 8.04(d),
Page 83 - Nova II Change of Recommendation; Right to Terminate. Notwithstanding anything in this Agreement to
Page 84 - Preparation of the Form S-4 and the Proxy Statement.
Page 85 - Stockholders Meetings.
Page 86 - Nova II Stockholders Meeting ); provided that Nova II (1) may postpone, recess or adjourn such meeti
Page 87 - IPO/Listing Parameters ) prior to the Outside Date. Subject to Section 6.05(e), as promptly as pract
Page 88 - Transaction Litigation ), such party against whom the action or proceeding has been brought (or that
Page 89 - Access; Information.
Page 90 - D O Insurance ) with benefits and levels of coverage at least as favorable as Nova I s and Nova II s
Page 91 - Notification of Certain Matters. Each of the Nova I Parties shall give prompt notice to the Other Pa
Page 92 - Transfer Taxes ), and shall cooperate in attempting to minimize the amount of Transfer Taxes.
Page 93 - Permitted Nova I Excluded Asset Distribution. Any Permitted Nova I Excluded Asset Distribution (defi
Page 94 - Applicable Party means (i) Nova I if its Leakage Percentage is greater than Nova II s Leakage Percen
Page 95 - Leakage Percentage means, with respect to each of Nova I and Nova II, the percentage obtained by div
Page 96 - Performance of Nova II Parties Obligations. All of the covenants and other agreements required by th
Page 97 - Performance of Newco Parties Obligations. All of the covenants and other agreements required by this
Page 98 - Performance of Nova I Parties Obligations. All of the covenants and other agreements required by thi
Page 99 - Performance of Newco Parties Obligations. All of the covenants and other agreements required by this
Page 100 - Nova I Parties Representations and Warranties. (i) Each of the representations and warranties of the
Page 101 - Nova II Parties Certificate. Constellation OP shall have received at the Closing a certificate dated
Page 102 - Frustration of Closing Conditions.
Page 103 - Outside Date ); provided that the right to terminate this Agreement under this Section 8.02(a) shall
Page 104 - Termination by Constellation OP. This Agreement may be terminated by Constellation OP, and the Const
Page 105 - N/A
Page 106 - N/A
Page 107 - N/A
Page 108 - Qualifying Income ), and Nova II has income from unknown sources during such year in an amount equal
Page 109 - N/A
Page 110 - N/A
Page 111 - N/A
Page 112 - Termination Event ) and either Nova I or Nova II receives a termination fee pursuant to this Section
Page 113 - Governing Law. The execution, interpretation, and performance of this Agreement shall be governed by
Page 114 - Expenses. Subject to Section 8.06, if the Closing does not occur, each party will bear all expenses
Page 115 - Entire Understanding; No Third Party Beneficiaries. All Exhibits (attached hereto and as executed),
Page 116 - Severability. If any provision of this Agreement or the application thereof to any person or circums
Page 117 - IN WITNESS WHEREOF, the parties have caused this Amended and Restated Master Combination Agreement t
Page 118 - N/A
Page 119 - N/A
Page 120 - EXHIBIT A
Page 121 - N/A
Page 122 - N/A
Page 123 - N/A
Page 124 - N/A
Page 125 - N/A
Page 126 - N/A
Page 127 - N/A
Page 128 - N/A
Page 129 - N/A
Page 130 - N/A
Page 131 - N/A
Page 132 - N/A
Page 133 - N/A
Page 134 - N/A
Page 135 - N/A
Page 136 - N/A
Page 137 - N/A
Page 138 - N/A
Page 139 - N/A
Page 140 - N/A
Page 141 - N/A
Page 142 - N/A
Page 143 - N/A
Page 144 - N/A
Page 145 - N/A
Page 146 - N/A
Page 147 - N/A
Page 148 - N/A
Page 149 - N/A
Page 150 - N/A
Page 151 - N/A
Page 152 - N/A
Page 153 - N/A
Page 154 - N/A
Page 155 - N/A
Page 156 - N/A
Page 157 - N/A
Page 158 - N/A
Page 159 - N/A
Page 160 - N/A
Page 161 - N/A
Page 162 - N/A
Page 163 - Exhibit A
Page 164 - N/A
Page 165 - EXHIBIT B
Page 166 - ARTICLE V
Page 167 - N/A
Page 168 - N/A
Page 169 - ARTICLE VI
Page 170 - N/A
Page 171 - N/A
Page 172 - ARTICLE VII
Page 173 - N/A
Page 174 - N/A
Page 175 - N/A
Page 176 - N/A
Page 177 - N/A
Page 178 - N/A
Page 179 - N/A
Page 180 - ARTICLE VIII
Page 181 - N/A
Page 182 - N/A
Page 183 - EXHIBIT C
Page 184 - N/A
Page 185 - N/A
Page 186 - N/A
Page 187 - N/A
Page 188 - N/A
Page 189 - provided that the special meeting has been called in accordance with Section 3(a) of this Article II
Page 190 - N/A
Page 191 - ARTICLE III
Page 192 - N/A
Page 193 - N/A
Page 194 - ARTICLE IV
Page 195 - N/A
Page 196 - ARTICLE VI
Page 197 - ARTICLE VII
Page 198 - ARTICLE VIII
Page 199 - ARTICLE XI
Page 200 - ARTICLE XIV
Page 201 - EXHIBIT D
Page 202 - TABLE OF CONTENTS
Page 203 - N/A
Page 204 - N/A
Page 205 - AMENDED AND RESTATED
Page 206 - ARTICLE 1
Page 207 - N/A
Page 208 - N/A
Page 209 - N/A
Page 210 - N/A
Page 211 - N/A
Page 212 - N/A
Page 213 - N/A
Page 214 - N/A
Page 215 - N/A
Page 216 - N/A
Page 217 - N/A
Page 218 - N/A
Page 219 - N/A
Page 220 - N/A
Page 221 - N/A
Page 222 - N/A
Page 223 - N/A
Page 224 - N/A
Page 225 - N/A
Page 226 - N/A
Page 227 - N/A
Page 228 - N/A
Page 229 - ARTICLE 2
Page 230 - N/A
Page 231 - ARTICLE 3
Page 232 - N/A
Page 233 - N/A
Page 234 - N/A
Page 235 - ARTICLE 4
Page 236 - N/A
Page 237 - N/A
Page 238 - N/A
Page 239 - N/A
Page 240 - N/A
Page 241 - N/A
Page 242 - N/A
Page 243 - N/A
Page 244 - N/A
Page 245 - N/A
Page 246 - N/A
Page 247 - N/A
Page 248 - N/A
Page 249 - ARTICLE 5
Page 250 - N/A
Page 251 - ARTICLE 6
Page 252 - N/A
Page 253 - N/A
Page 254 - N/A
Page 255 - N/A
Page 256 - ARTICLE 7
Page 257 - N/A
Page 258 - N/A
Page 259 - N/A
Page 260 - N/A
Page 261 - N/A
Page 262 - N/A
Page 263 - N/A
Page 264 - N/A
Page 265 - N/A
Page 266 - N/A
Page 267 - N/A
Page 268 - N/A
Page 269 - ARTICLE 8
Page 270 - N/A
Page 271 - N/A
Page 272 - ARTICLE 9
Page 273 - ARTICLE 10
Page 274 - N/A
Page 275 - N/A
Page 276 - ARTICLE 11
Page 277 - N/A
Page 278 - N/A
Page 279 - N/A
Page 280 - N/A
Page 281 - N/A
Page 282 - N/A
Page 283 - ARTICLE 12
Page 284 - N/A
Page 285 - ARTICLE 13
Page 286 - N/A
Page 287 - N/A
Page 288 - ARTICLE 14
Page 289 - N/A
Page 290 - ARTICLE 15
Page 291 - N/A
Page 292 - N/A
Page 293 - N/A
Page 294 - N/A
Page 295 - N/A
Page 296 - N/A
Page 297 - N/A
Page 298 - N/A
Page 299 - N/A
Page 300 - N/A
Page 301 - N/A
Page 302 - N/A
Page 303 - N/A
Page 304 - N/A
Page 305 - EXHIBIT A: EXAMPLES REGARDING ADJUSTMENT FACTOR
Page 306 - EXHIBIT B: NOTICE OF REDEMPTION
Page 307 - N/A
Page 308 - EXHIBIT C: MEMBER NOTICE OF LTIP CONVERSION ELECTION
Page 309 - EXHIBIT D: COMPANY NOTICE OF LTIP CONVERSION ELECTION
Page 310 - SCHEDULE I
Page 311 - SCHEDULE II
Page 312 - EXHIBIT E(1)
Page 313 - N/A
Page 314 - EXHIBIT E(2)
Page 315 - N/A
Page 316 - EXHIBIT F
Page 317 - N/A
Page 318 - EXHIBIT G
Page 319 - EXHIBIT H
Page 320 - N/A
Page 321 - ARTICLE II
Page 322 - ARTICLE IV
Page 323 - N/A
Page 324 - N/A
Page 325 - N/A
Page 326 - N/A
Page 327 - EXHIBIT I
Page 328 - ARTICLE I
Page 329 - N/A
Page 330 - Schedule A hereto held by Holdco immediately prior to the date of this Agreement.
Page 331 - ARTICLE II
Page 332 - N/A
Page 333 - ARTICLE III
Page 334 - ARTICLE IV
Page 335 - ARTICLE V
Page 336 - N/A
Page 337 - N/A
Page 338 - ARTICLE VI
Page 339 - ARTICLE VII
Page 340 - N/A
Page 341 - N/A
Page 342 - N/A
Page 343 - ARTICLE VIII
Page 344 - N/A
Page 345 - N/A
Page 346 - ARTICLE IX
Page 347 - N/A
Page 348 - ARTICLE XI
Page 349 - ARTICLE XII
Page 350 - N/A
Page 351 - N/A
Page 352 - APPENDIX A
Page 353 - N/A
Page 354 - N/A
Subdocument 3 - EX-99.1 - EX-99.1
Page 1 - N/A
Page 2 - N/A
Page 3 - N/A
Page 4 - N/A
Page 5 - N/A
Page 6 - N/A
Page 7 - N/A
Page 8 - N/A

Shareholder Contact Information

Investor Relations

Lasse Glassen
ADDO Communications
310.829.5400
lglassen@addoir.com

Press & Media

Caroline Luz
Owen Blicksilver P.R., Inc.
203.656.2829
caroline@blicksilverpr.com

Stock & Transfer Agent

American Stock & Transfer
Trust Company
800.937.5449
www.amstock.com/main/