SEC Form 4 · accession 0001140361-17-022897
ANNALY CAPITAL MANAGEMENT INC · NLY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin Brady
Director
Period of report
May 25, 2017
Accepted (ET)
May 30, 2017 · 5:48 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 | — | — | — | 44,150 | D | ||
| Common StockF1 | holding | — | — | — | 48,750 | I | By the Kevin P. Brady Family Trust | |
| Common StockF1 | holding | — | — | — | 42,500 | I | By wife | |
| Common StockF1 | holding | — | — | — | 750 | I | By daughter | |
| Common StockF1 | holding | — | — | — | 750 | I | By daughter | |
| Common StockF1 | holding | — | — | — | 9,000 | I | By mother |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock UnitsF4,F5,F3 | — | May 25, 2017 | A | 11,451 | A | — | — | Common Stock | 11,451 | 67,666 | D |
| Option to purchase Common StockF2 | $16.46 | holding | — | — | — | — | May 8, 2018 | Common Stock | 20,000 | 20,000 | D |
| Option to purchase Common StockF2 | $15.61 | holding | — | — | — | — | Sep 9, 2018 | Common Stock | 10,000 | 10,000 | D |
| Option to purchase Common StockF2 | $13.25 | holding | — | — | — | — | Apr 22, 2019 | Common Stock | 12,500 | 12,500 | D |
| Option to purchase Common StockF2 | $17.11 | holding | — | — | — | — | Jun 26, 2017 | Common Stock | 1,250 | 1,250 | D |
Explanation of responses
- F1The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.
- F2Options previously granted. All options are currently vested.
- F3The 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.
- F4Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions.
- F5Includes 9,500 DSUs acquired pursuant to dividend reinvestment for which no additional price was paid.