SEC Form 4 · accession 0001140361-17-030919
ANNALY CAPITAL MANAGEMENT INC · NLY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donnell Segalas
Director
Period of report
Aug 7, 2017
Accepted (ET)
Aug 9, 2017 · 5:26 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 | Aug 7, 2017 | P | 8,000 | $12.0883 | A | 84,150 | D | |
| Common Stock | Aug 8, 2017 | P | 9,000 | $12.1872 | A | 93,150 | D | |
| Common Stock | Aug 8, 2017 | P | 500 | $12.1764 | A | 93,650 | D | |
| Common StockF1 | Aug 8, 2017 | P | 200 | $12.1872 | A | 2,100 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 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 19, 2018 | Common Stock | 20,000 | 20,000 | D |
| Option to purchase Common StockF2 | $13.25 | holding | — | — | — | — | Apr 22, 2019 | Common Stock | 37,500 | 37,500 | D |
| Deferred Stock UnitsF4,F3 | — | holding | — | — | — | — | — | Common Stock | 67,666 | 67,666 | D |
Explanation of responses
- F1Represents shares of Common Stock held by The Katherine Lacy Segalas Devlin Irrevocable Trust (the "Trust") for the benefit of an immediate family member of the reporting person. The reporting person is co-trustee of the Trust. Includes a previous gift of 1,900 shares of Common Stock received by the Trust in 2012. The reporting person disclaims beneficial ownership of shares of Common Stock held by the Trust.
- 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. The reporting person has elected such deferred settlement for all DSUs reported above.
- F4Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions, including 9,500 DSUs acquired pursuant to dividend reinvestment for which no additional price was paid.