SEC Form 4 · accession 0001140361-15-022828

ANNALY CAPITAL MANAGEMENT INC · NLY

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

May 21, 2015

Accepted (ET)

Jun 2, 2015 · 4:18 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 Stock	holding	—	—		—	76,150	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Deferred Stock Units^F3,F2	—	May 21, 2015	A	13,197	A	—	—	Common Stock	13,197	35,437	D
Option to purchase Common Stock^F1	$17.07	holding	—	—	—	Jul 7, 2006	Jul 7, 2015	Common Stock	15,000	15,000	D
Option to purchase Common Stock^F1	$16.46	holding	—	—	—	May 8, 2009	May 8, 2018	Common Stock	20,000	20,000	D
Option to purchase Common Stock^F1	$15.61	holding	—	—	—	Sep 19, 2009	Sep 19, 2018	Common Stock	20,000	20,000	D
Option to purchase Common Stock^F1	$13.25	holding	—	—	—	Apr 22, 2010	Apr 22, 2019	Common Stock	12,500	37,500	D
Option to purchase Common Stock^F1	$15.09	holding	—	—	—	Jun 26, 2009	Jun 26, 2014	Common Stock	1,250	1,250	D
Option to purchase Common Stock^F1	$17.24	holding	—	—	—	Jun 28, 2010	Jun 28, 2015	Common Stock	1,250	1,250	D
Option to purchase Common Stock^F1	$18.67	holding	—	—	—	Jun 27, 2011	Jun 27, 2016	Common Stock	1,250	1,250	D
Option to purchase Common Stock^F1	$17.11	holding	—	—	—	Jun 26, 2012	Jun 26, 2017	Common Stock	1,250	1,250	D

F1Options previously granted.
F2The Deferred Stock Units ("DSUs") convert to shares of Common Stock on a one-for-one basis one year after the date of grant unless the director elects to defer the settlement of the DSUs following a termination of service as described in Annaly Capital Management, Inc. 2010 Equity Incentive Plan.
F3Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions.