SEC Form 4 · accession 0001140361-16-064119
ANNALY CAPITAL MANAGEMENT INC · NLY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
R Nicholas Singh
Officer — Chief Legal Officer
Period of report
May 6, 2016
Accepted (ET)
May 9, 2016 · 6:00 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 6, 2016 | P | 130,400 | $10.85 | A | 436,800 | D | |
| Common StockF2 | May 6, 2016 | P | 5,200 | $10.85 | A | 21,899 | I | By 401(k) Plan |
| Class A Preferred Stock | holding | — | — | — | 1,150 | I | By 401(k) Plan |
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 StockF3 | $15.70 | holding | — | — | — | May 17, 2008 | May 17, 2017 | Common Stock | 40,000 | 40,000 | D |
| Option to purchase Common StockF3 | $16.46 | holding | — | — | — | May 8, 2009 | May 8, 2018 | Common Stock | 53,000 | 53,000 | D |
| Option to purchase Common StockF3 | $15.61 | holding | — | — | — | Sep 19, 2009 | Sep 19, 2018 | Common Stock | 53,000 | 53,000 | D |
Explanation of responses
- F1Represents the weighted average purchase price of $10.84571, rounded to the nearest hundredth. The highest price at which the shares were purchased was $10.85 and the lowest price at which the shares were purchased was $10.83. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote in this Form 4.
- F2Represents the weighted average purchase price of $10.84813, rounded to the nearest hundredth. The highest price at which the shares were purchased was $10.85 and the lowest price at which the shares were purchased was $10.84. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote in this Form 4.
- F3Options previously granted.