北极星资产管理集团
NSAM

股本结构

单位：万股
公告日期 2016-11-09 2016-11-18 2016-11-09 2016-08-09 2016-11-18 2016-08-09
证券总股本 18894.49 18894.49 18898.37 18900.12 18903.92 18903.92
普通股本 18894.49 18894.49 18898.37 18900.12 18903.92 18903.92
优先股 未披露 未披露 未披露 未披露 未披露 未披露
其他 521.01 未披露 521.01 521.01 521.01 521.01
变动日期 2016-11-07 2016-11-02 2016-09-30 2016-08-04 2016-07-26 2016-06-30
注释：中概股证券总股本=普通股股本/ 存托凭证比例

历史变动

公告日期 变动后普通股本（万股） 变动后优先股（万股） 变动原因 变动日期
2016-11-09 18894.49 未披露 定期报告 2016-11-07
2016-11-18 18894.49 未披露 定期报告 2016-11-02
2016-11-09 18898.37 未披露
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from December 31, 2015 to September 30, 2016 Issuance of performance common stock Issuance of common stock relating to equity-based compensation, net Issuance of common stock related to settlement of award Issuance of restricted stock related to Townsend Settlement of RSUs to common stock, net
2016-09-30
2016-08-09 18900.12 未披露 定期报告 2016-08-04
2016-11-18 18903.92 未披露 定期报告 2016-07-26
2016-08-09 18903.92 未披露
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from December 31, 2015 to June 30, 2016 Issuance of performance common stock Issuance of common stock relating to equity-based compensation, net Issuance of common stock related to settlement of award Issuance of restricted stock related to Townsend Settlement of RSUs to common stock, net
2016-06-30
2016-05-10 18905.86 未披露 定期报告 2016-05-05
2016-04-29 18910.82 未披露 定期报告 2016-04-27
2016-05-10 18909.01 未披露
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from December 31, 2015 to March 31, 2016 Issuance of performance common stock Issuance of common stock relating to equity-based compensation, net Issuance of common stock related to settlement of award Settlement of RSUs to common stock, net
2016-03-31
2016-02-29 18899.52 未披露 定期报告 2016-02-24
2016-02-29 18568.51 未披露
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from December 31, 2014 to December 31, 2015 Issuance of common stock related to transactions Issuance of common stock relating to equity-based compensation, net of forfeitures Conversion of Deferred LTIP Units to LTIP Units and common stock, net Retirement of shares of common stock Issuance of performance common stock Settlement of RSUs to common stock, net
2015-12-31
2015-11-09 19370.17 未披露 定期报告 2015-11-04
2015-11-09 19371.14 未披露
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from December 31, 2014 to September 30, 2015 Issuance of performance common stock Issuance of common stock related to transactions Issuance of common stock relating to equity-based compensation, net of forfeitures Conversion of Deferred LTIP Units to LTIP Units and common stock, net Retirement of shares of common stock Settlement of RSUs to common stock, net
2015-09-30
2015-08-10 19371.11 未披露 定期报告 2015-08-07
2015-08-10 19361.04 未披露
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from December 31, 2014 to June 30, 2015 Issuance of performance common stock Issuance of common stock related to transactions Issuance of common stock relating to equity-based compensation, net of forfeitures Conversion of Deferred LTIP Units to LTIP Units and common stock, net Settlement of RSUs to common stock, net Retirement of common shares
2015-06-30
2015-05-11 19383.96 未披露 定期报告 2015-05-07
2015-05-11 19385.01 未披露
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from December 31, 2014 to March 31, 2015 Issuance of performance common stock Issuance of common stock related to transactions Issuance of common stock relating to equity-based compensation, net of forfeitures Conversion of Deferred LTIP Units to LTIP Units and common stock, net Settlement of RSUs to common stock, net
2015-03-31
2015-03-02 19384.83 未披露 定期报告 2015-02-26
2015-03-02 19294.79 未披露
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from December 31, 2013 to December 31, 2014 Settlement of RSUs to performance common stock Capital contribution of NorthStar Realty Issuance of common stock to directors Issuance of common stock to transactions Issuance of common stock relating to equity-based compensation, net of forfeitures Settlement of RSUs to common stock Tax withholding related to vesting of RSUs
2014-12-31
2014-11-10 18863.43 未披露
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from June 30, 2014 to September 30, 2014 Issuance of restricted stock to directors
2014-09-30
2014-08-11 18863.43 未披露 定期报告 2014-08-08
2014-08-11 18859.68 未披露
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from December 31, 2013 to June 30, 2014 Net effect of capital contribution of NorthStar Realty
2014-06-30
from December 31, 2015 to September 30, 2016 Issuance of performance common stock Issuance of common stock relating to equity-based compensation, net Issuance of common stock related to settlement of award Issuance of restricted stock related to Townsend Settlement of RSUs to common stock, net
from December 31, 2015 to June 30, 2016 Issuance of performance common stock Issuance of common stock relating to equity-based compensation, net Issuance of common stock related to settlement of award Issuance of restricted stock related to Townsend Settlement of RSUs to common stock, net
from December 31, 2015 to March 31, 2016 Issuance of performance common stock Issuance of common stock relating to equity-based compensation, net Issuance of common stock related to settlement of award Settlement of RSUs to common stock, net
from December 31, 2014 to December 31, 2015 Issuance of common stock related to transactions Issuance of common stock relating to equity-based compensation, net of forfeitures Conversion of Deferred LTIP Units to LTIP Units and common stock, net Retirement of shares of common stock Issuance of performance common stock Settlement of RSUs to common stock, net
from December 31, 2014 to September 30, 2015 Issuance of performance common stock Issuance of common stock related to transactions Issuance of common stock relating to equity-based compensation, net of forfeitures Conversion of Deferred LTIP Units to LTIP Units and common stock, net Retirement of shares of common stock Settlement of RSUs to common stock, net
from December 31, 2014 to June 30, 2015 Issuance of performance common stock Issuance of common stock related to transactions Issuance of common stock relating to equity-based compensation, net of forfeitures Conversion of Deferred LTIP Units to LTIP Units and common stock, net Settlement of RSUs to common stock, net Retirement of common shares
from December 31, 2014 to March 31, 2015 Issuance of performance common stock Issuance of common stock related to transactions Issuance of common stock relating to equity-based compensation, net of forfeitures Conversion of Deferred LTIP Units to LTIP Units and common stock, net Settlement of RSUs to common stock, net
from December 31, 2013 to December 31, 2014 Settlement of RSUs to performance common stock Capital contribution of NorthStar Realty Issuance of common stock to directors Issuance of common stock to transactions Issuance of common stock relating to equity-based compensation, net of forfeitures Settlement of RSUs to common stock Tax withholding related to vesting of RSUs
from June 30, 2014 to September 30, 2014 Issuance of restricted stock to directors
from December 31, 2013 to June 30, 2014 Net effect of capital contribution of NorthStar Realty
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