SEC Form 4 · accession 0001140361-16-067675
ANNALY CAPITAL MANAGEMENT INC · NLY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
E Wayne Nordberg
Director
Period of report
May 26, 2016
Accepted (ET)
May 27, 2016 · 8:48 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 | — | — | — | 43,250 | D | ||
| Common Stock | holding | — | — | — | 10,000 | I | By Olivia Nordberg Trust | |
| Common Stock | holding | — | — | — | 9,000 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock UnitsF3,F4,F2 | — | May 26, 2016 | A | 12,617 | A | — | — | Common Stock | 12,617 | 55,202 | D |
| Option to purchase Common StockF1 | $16.46 | holding | — | — | — | May 8, 2009 | May 8, 2018 | Common Stock | 20,000 | 20,000 | D |
| Option to purchase Common StockF1 | $15.61 | holding | — | — | — | Sep 19, 2009 | Sep 19, 2018 | Common Stock | 20,000 | 20,000 | D |
| Option to purchase Common StockF1 | $13.25 | holding | — | — | — | Apr 22, 2010 | Apr 22, 2019 | Common Stock | 50,000 | 50,000 | D |
| Option to purchase Common StockF1 | $18.67 | holding | — | — | — | Jun 27, 2011 | Jun 27, 2016 | Common Stock | 1,250 | 1,250 | D |
| Option to purchase Common StockF1 | $17.11 | holding | — | — | — | Jun 26, 2012 | Jun 26, 2017 | Common Stock | 1,250 | 1,250 | D |
Explanation of responses
- 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 until after a termination of service pursuant to the 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.
- F4Includes 8,487 DSUs acquired pursuant to dividend reinvestment for which no additional price was paid.