SEC Form 4/A · accession 0001140361-15-019389
ANNALY CAPITAL MANAGEMENT INC · NLY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Wellington Denahan
Officer — Chairman of Board & CEO · Director
Period of report
May 8, 2015
Accepted (ET)
May 13, 2015 · 4:05 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001043219
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 8, 2015 | P | 13,268 | $10.11 | A | 1,388,186 | D | |
| Common StockF1 | May 11, 2015 | P | 184,948 | $10.04 | A | 1,573,134 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to purchase Common StockF2 | $17.07 | holding | — | — | — | Jul 7, 2006 | Jul 7, 2015 | Common Stock | 150,000 | 150,000 | D |
| Option to purchase Common StockF2 | $15.70 | holding | — | — | — | May 17, 2008 | May 17, 2017 | Common Stock | 150,000 | 150,000 | D |
| Option to purchase Common StockF2 | $16.46 | holding | — | — | — | May 8, 2009 | May 8, 2018 | Common Stock | 200,000 | 200,000 | D |
| Option to purchase Common StockF2 | $15.61 | holding | — | — | — | Sep 19, 2009 | Sep 19, 2018 | Common Stock | 200,000 | 200,000 | D |
Explanation of responses
- F1The number of "securities acquired" was listed incorrectly on the Form 4 filing made on May 12, 2015 due to an administrative error. A purchase of 13,268 shares was made on May 8, 2015 and a second purchase of 184,948 shares was made on May 11, 2015. The Amount of Securities Beneficially Owned Following Reported Transaction on May 8, 2015 was 1,388,186 and the Amount of Securities Beneficially Owned Following Reported Transaction on May 11, 2015 is 1,573,134.
- F2Options previously granted.