SEC Form 4 · accession 0001140361-16-067674
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 26, 2016
Accepted (ET)
May 27, 2016 · 8:44 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 | — | — | — | 62,742 | 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,F3,F1 | — | May 26, 2016 | A | 12,617 | A | — | — | Common Stock | 12,617 | 25,832 | 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 until after a termination of service pursuant to the 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 3,853 DSUs acquired pursuant to a dividend reinvestment for which no additional price was paid.
Remarks
Exhibit 24.1 - Power of Attorney, incorporated herein by reference.