SEC FORM 13F-HR
|
The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.
|
| UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
|
| OMB APPROVAL |
| OMB Number: | 3235-0006 |
| Expires: | Oct 31, 2018 |
| Estimated average burden |
| hours per response: | 23.8 |
|
|
| Report for the Calendar Year or Quarter Ended: | 03-31-2021 |
| Check here if Amendment | | Amendment Number: |
| This Amendment (Check only one.): | | is a restatement. |
| | adds new holdings entries. |
| Institutional Investment Manager Filing this Report: |
| Name: | Colony Capital, Inc. |
| Address: | 750 Park of Commerce Drive |
| Suite 210 |
| Boca Raton,
FL
33487 |
| Form 13F File Number: | 028-19781 |
The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.
| Person Signing this Report on Behalf of Reporting Manager: |
| Name: | Leon Schwartzman |
| Title: | Chief Compliance Officer |
| Phone: | 310-552-7127 |
| Signature, Place, and Date of Signing: |
| /s/ Leon Schwartzman | Los Angeles,
CA | 05-14-2021 |
| [Signature] | [City, State] | [Date] |
|
| Report Type (Check only one.): |
| X | 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) |
| | 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) |
| | 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) |
| Form 13F Summary Page |
| Report Summary: |
| Number of Other Included Managers: | 3 | | |
| Form 13F Information Table Entry Total: | 73 |
| Form 13F Information Table Value Total: | 783,907 |
| (thousands) |
|
| List of Other Included Managers: |
| Provide a numbered list of the name(s) and Form 13F file number(s)
of all institutional investment managers with respect to which this report is filed, other than the
manager filing this report. |
| [If there are no entries in this list, state “NONE” and omit the
column headings and list entries.] |
| No. | Form 13F File Number | Name |
| 1 | 028-20948 | DCL Adviser, LLC |
| 2 | | DC Liquid Strategies Adviser, LLC |
| 3 | | Colony Capital Investment Advisors, LLC |
SEC FORM 13-F Information Table
|
The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.
|
| UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F INFORMATION TABLE
|
| OMB APPROVAL |
| OMB Number: | 3235-0006 |
| Expires: | Oct 31, 2018 |
| Estimated average burden |
| hours per response: | 23.8 |
|
|
| COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 |
| | | VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
| 21VIANET GROUP INC | SPONSORED ADS A | 90138A103 | 8,447 | 261,500 | SH | | DFND | 2 | 261,500 | 0 | 0 |
| 21VIANET GROUP INC | SPONSORED ADS A | 90138A103 | 11,951 | 370,000 | SH | | DFND | 1 | 370,000 | 0 | 0 |
| ALBERTSONS COS INC | COMMON STOCK | 013091103 | 332,313 | 17,425,946 | SH | | DFND | 3 | 17,425,946 | 0 | 0 |
| ALEXANDER & BALDWIN INC NEW | COM | 014491104 | 4,869 | 290,000 | SH | | DFND | 2 | 290,000 | 0 | 0 |
| ALEXANDER & BALDWIN INC NEW | COM | 014491104 | 4,198 | 250,000 | SH | | DFND | 3 | 250,000 | 0 | 0 |
| ALEXANDERS INC | COM | 014752109 | 0 | 0 | SH | | DFND | 2 | 0 | 0 | 0 |
| ALEXANDERS INC | COM | 014752109 | 1,941 | 7,000 | SH | | DFND | 3 | 7,000 | 0 | 0 |
| ALTICE USA INC | CL A | 02156K103 | 1,493 | 45,908 | SH | | DFND | 2 | 45,908 | 0 | 0 |
| AMDOCS LTD | SHS | G02602103 | 2,457 | 35,031 | SH | | DFND | 2 | 35,031 | 0 | 0 |
| AMERCO | COM | 023586100 | 1,899 | 3,100 | SH | | DFND | 2 | 3,100 | 0 | 0 |
| AMERICA MOVIL SAB DE CV | SPON ADR L SHS | 02364W105 | 4,101 | 302,000 | SH | | DFND | 2 | 302,000 | 0 | 0 |
| AMERICAN ASSETS TR INC | COM | 024013104 | 1,395 | 43,000 | SH | | DFND | 3 | 43,000 | 0 | 0 |
| AMERICAN ASSETS TR INC | COM | 024013104 | 1,005 | 31,000 | SH | | DFND | 2 | 31,000 | 0 | 0 |
| AMERICAN TOWER CORP NEW | COM | 03027X100 | 55,223 | 231,000 | SH | | DFND | 1 | 231,000 | 0 | 0 |
| AMERICAN TOWER CORP NEW | COM | 03027X100 | 12,478 | 52,200 | SH | | DFND | 2 | 52,200 | 0 | 0 |
| AMERICAN TOWER CORP NEW | COM | 03027X100 | 9,515 | 39,800 | SH | | DFND | 3 | 39,800 | 0 | 0 |
| ARISTA NETWORKS INC | COM | 040413106 | 1,283 | 4,249 | SH | | DFND | 2 | 4,249 | 0 | 0 |
| BROADCOM INC | COM | 11135F101 | 1,692 | 3,650 | SH | | DFND | 2 | 3,650 | 0 | 0 |
| CIENA CORP | COM NEW | 171779309 | 1,477 | 27,000 | SH | | DFND | 2 | 27,000 | 0 | 0 |
| COLONY STARWOOD HOMES | NOTE 3.500% 1/1 | 19625XAB8 | 2,121 | 1,500,000 | PRN | | DFND | 3 | 1,500,000 | 0 | 0 |
| COMCAST CORP NEW | CL A | 20030N101 | 1,741 | 32,168 | SH | | DFND | 2 | 32,168 | 0 | 0 |
| CORESITE RLTY CORP | COM | 21870Q105 | 9,588 | 80,000 | SH | | DFND | 1 | 80,000 | 0 | 0 |
| CORESITE RLTY CORP | COM | 21870Q105 | 3,176 | 26,500 | SH | | DFND | 2 | 26,500 | 0 | 0 |
| CORESITE RLTY CORP | COM | 21870Q105 | 2,157 | 18,000 | SH | | DFND | 3 | 18,000 | 0 | 0 |
| CROWN CASTLE INTL CORP NEW | COM | 22822V101 | 60,762 | 353,000 | SH | | DFND | 1 | 353,000 | 0 | 0 |
| CROWN CASTLE INTL CORP NEW | COM | 22822V101 | 11,068 | 64,300 | SH | | DFND | 2 | 64,300 | 0 | 0 |
| CROWN CASTLE INTL CORP NEW | COM | 22822V101 | 9,984 | 58,000 | SH | | DFND | 3 | 58,000 | 0 | 0 |
| CYRUSONE INC | COM | 23283R100 | 1,592 | 23,508 | SH | | DFND | 2 | 23,508 | 0 | 0 |
| CYRUSONE INC | COM | 23283R100 | 0 | 0 | SH | | DFND | 3 | 0 | 0 | 0 |
| DISH NETWORK CORPORATION | CL A | 25470M109 | 1,083 | 29,919 | SH | | DFND | 2 | 29,919 | 0 | 0 |
| EQUINIX INC | COM | 29444U700 | 8,835 | 13,000 | SH | | DFND | 3 | 13,000 | 0 | 0 |
| EQUINIX INC | COM | 29444U700 | 54,707 | 80,500 | SH | | DFND | 1 | 80,500 | 0 | 0 |
| EQUINIX INC | COM | 29444U700 | 10,840 | 15,950 | SH | | DFND | 2 | 15,950 | 0 | 0 |
| EQUITY LIFESTYLE PPTYS INC | COM | 29472R108 | 6,301 | 99,000 | SH | | DFND | 2 | 99,000 | 0 | 0 |
| EQUITY LIFESTYLE PPTYS INC | COM | 29472R108 | 5,791 | 91,000 | SH | | DFND | 3 | 91,000 | 0 | 0 |
| ERICSSON | ADR B SEK 10 | 294821608 | 1,773 | 134,384 | SH | | DFND | 2 | 134,384 | 0 | 0 |
| EXPEDIA GROUP INC | COM NEW | 30212P303 | 3,641 | 21,150 | SH | | DFND | 2 | 21,150 | 0 | 0 |
| GDS HLDGS LTD | SPONSORED ADS | 36165L108 | 5,514 | 68,000 | SH | | DFND | 1 | 68,000 | 0 | 0 |
| GDS HLDGS LTD | SPONSORED ADS | 36165L108 | 1,318 | 16,250 | SH | | DFND | 2 | 16,250 | 0 | 0 |
| GRANITE PT MTG TR INC | NOTE 6.375%10/0 | 38741LAC1 | 950 | 1,000,000 | PRN | | DFND | 3 | 1,000,000 | 0 | 0 |
| GRUPO TELEVISA SA | SPON ADR REP ORD | 40049J206 | 961 | 108,495 | SH | | DFND | 2 | 108,495 | 0 | 0 |
| INDUS REALTY TRUST INC | COM | 45580R103 | 2,896 | 48,127 | SH | | DFND | 2 | 48,127 | 0 | 0 |
| INDUS REALTY TRUST INC | COM | 45580R103 | 2,054 | 34,144 | SH | | DFND | 3 | 34,144 | 0 | 0 |
| LAMAR ADVERTISING CO NEW | CL A | 512816109 | 8,702 | 92,652 | SH | | DFND | 2 | 92,652 | 0 | 0 |
| LAMAR ADVERTISING CO NEW | CL A | 512816109 | 7,936 | 84,500 | SH | | DFND | 3 | 84,500 | 0 | 0 |
| LEXINGTON REALTY TRUST | COM | 529043101 | 978 | 88,000 | SH | | DFND | 2 | 88,000 | 0 | 0 |
| LEXINGTON REALTY TRUST | COM | 529043101 | 2,555 | 230,000 | SH | | DFND | 3 | 230,000 | 0 | 0 |
| LIBERTY LATIN AMERICA LTD | COM CL C | G9001E128 | 1,298 | 100,000 | SH | | DFND | 2 | 100,000 | 0 | 0 |
| LUMEN TECHNOLOGIES INC | COM | 550241103 | 854 | 64,000 | SH | | DFND | 2 | 64,000 | 0 | 0 |
| MGM GROWTH PPTYS LLC | CL A COM | 55303A105 | 3,164 | 97,000 | SH | | DFND | 2 | 97,000 | 0 | 0 |
| MGM GROWTH PPTYS LLC | CL A COM | 55303A105 | 3,588 | 110,000 | SH | | DFND | 3 | 110,000 | 0 | 0 |
| OMNICOM GROUP INC | COM | 681919106 | 1,168 | 15,750 | SH | | DFND | 2 | 15,750 | 0 | 0 |
| OUTFRONT MEDIA INC | COM | 69007J106 | 2,510 | 115,000 | SH | | DFND | 3 | 115,000 | 0 | 0 |
| OUTFRONT MEDIA INC | COM | 69007J106 | 1,222 | 56,000 | SH | | DFND | 2 | 56,000 | 0 | 0 |
| PROLOGIS INC. | COM | 74340W103 | 2,756 | 26,000 | SH | | DFND | 3 | 26,000 | 0 | 0 |
| PROLOGIS INC. | COM | 74340W103 | 2,041 | 19,250 | SH | | DFND | 2 | 19,250 | 0 | 0 |
| PS BUSINESS PKS INC CALIF | COM | 69360J107 | 2,628 | 17,000 | SH | | DFND | 3 | 17,000 | 0 | 0 |
| PS BUSINESS PKS INC CALIF | COM | 69360J107 | 1,932 | 12,500 | SH | | DFND | 2 | 12,500 | 0 | 0 |
| SBA COMMUNICATIONS CORP NEW | CL A | 78410G104 | 472 | 1,700 | SH | | DFND | 2 | 1,700 | 0 | 0 |
| SBA COMMUNICATIONS CORP NEW | CL A | 78410G104 | 1,735 | 6,250 | SH | | DFND | 3 | 6,250 | 0 | 0 |
| SUN CMNTYS INC | COM | 866674104 | 0 | 0 | SH | | DFND | 2 | 0 | 0 | 0 |
| SUN CMNTYS INC | COM | 866674104 | 2,581 | 17,200 | SH | | DFND | 3 | 17,200 | 0 | 0 |
| SWITCH INC | CL A | 87105L104 | 11,220 | 690,000 | SH | | DFND | 2 | 690,000 | 0 | 0 |
| SWITCH INC | CL A | 87105L104 | 27,236 | 1,675,000 | SH | | DFND | 1 | 1,675,000 | 0 | 0 |
| TERRENO RLTY CORP | COM | 88146M101 | 3,640 | 63,000 | SH | | DFND | 3 | 63,000 | 0 | 0 |
| TERRENO RLTY CORP | COM | 88146M101 | 2,414 | 41,800 | SH | | DFND | 2 | 41,800 | 0 | 0 |
| T-MOBILE US INC | COM | 872590104 | 1,330 | 10,616 | SH | | DFND | 2 | 10,616 | 0 | 0 |
| TPG RE FIN TR INC | COM | 87266M107 | 1,453 | 129,766 | SH | | DFND | 2 | 129,766 | 0 | 0 |
| TPG RE FIN TR INC | COM | 87266M107 | 1,546 | 138,000 | SH | | DFND | 3 | 138,000 | 0 | 0 |
| UNITI GROUP INC | COM | 91325V108 | 4,804 | 435,500 | SH | | DFND | 2 | 435,500 | 0 | 0 |
| UNITI GROUP INC | COM | 91325V108 | 4,191 | 380,000 | SH | | DFND | 3 | 380,000 | 0 | 0 |
| VIAVI SOLUTIONS INC | COM | 925550105 | 1,226 | 78,077 | SH | | DFND | 2 | 78,077 | 0 | 0 |
| VODAFONE GROUP PLC NEW | SPONSORED ADR | 92857W308 | 10,137 | 550,000 | SH | | DFND | 2 | 550,000 | 0 | 0 |
