SEC Form 4 · accession 0001140361-15-022834
ANNALY CAPITAL MANAGEMENT INC · NLY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John H Schaefer
Director
Period of report
May 21, 2015
Accepted (ET)
Jun 2, 2015 · 4:26 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 | May 22, 2015 | M | 12,878 | $0.00 | A | 47,878 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock UnitsF2,F1 | — | May 21, 2015 | A | 13,197 | A | — | — | Common Stock | 13,197 | 37,807 | D |
| Deferred Stock UnitsF3,F2,F1 | — | May 22, 2015 | M | 12,878 | D | — | — | Common Stock | 12,878 | 24,929 | D |
Explanation of responses
- F1The 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.
- F2Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions.
- F3Includes 1,339 shares acquired pursuant to a dividend reinvestment for which no additional price was paid.