SEC Form 5 · accession 0001140361-17-001939

ANNALY CAPITAL MANAGEMENT INC · NLY

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

Reporting owner

Officer — Chief Legal Officer

Period of report

Dec 31, 2016

Accepted (ET)

Jan 13, 2017 · 7:18 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001043219

Table I — non-derivative securities

Security	Date	Code	Shares	A/D	Owned after	D/I	Nature of ownership
Common Stock	holding	—	—	—	436,800	D
Common Stock	holding	—	—	—	21,899	I	By 401(k) Plan
Class A Preferred Stock	holding	—	—	—	1,150	I	By 401(k) Plan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Option to purchase Common Stock^F1	$15.70	holding	—	—	—	May 17, 2008	May 17, 2017	Common Stock	40,000	40,000	D
Option to purchase Common Stock^F1	$16.46	holding	—	—	—	May 8, 2009	May 8, 2018	Common Stock	53,000	53,000	D
Option to purchase Common Stock^F1	$15.61	holding	—	—	—	Sep 19, 2009	Sep 19, 2018	Common Stock	53,000	53,000	D