SEC Form 4 · accession 0001140361-17-022893

ANNALY CAPITAL MANAGEMENT INC · NLY

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

Reporting owner

Director

Period of report

May 25, 2017

Accepted (ET)

May 30, 2017 · 5:38 pm EDT

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	—	—	—	43,250	D
Common Stock	holding	—	—	—	10,000	I	By Olivia Nordberg Trust
Common Stock	holding	—	—	—	9,000	I	By Spouse

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Deferred Stock Units^F3,F4,F2	—	May 25, 2017	A	11,451	A	—	—	Common Stock	11,451	73,052	D
Option to purchase Common Stock^F1	$16.46	holding	—	—	—	—	May 8, 2018	Common Stock	20,000	20,000	D
Option to purchase Common Stock^F1	$15.61	holding	—	—	—	—	Sep 19, 2018	Common Stock	20,000	20,000	D
Option to purchase Common Stock^F1	$13.25	holding	—	—	—	—	Apr 22, 2019	Common Stock	50,000	50,000	D
Option to purchase Common Stock^F1	$17.11	holding	—	—	—	—	Jun 26, 2017	Common Stock	1,250	1,250	D

F1Options previously granted. All options are currently vested.
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 14,886 DSUs acquired pursuant to dividend reinvestment for which no additional price was paid.