SEC Form 4 · accession 0001140361-17-032629

ANNALY CAPITAL MANAGEMENT INC · NLY

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

Reporting owner

Director

Period of report

Aug 17, 2017

Accepted (ET)

Aug 17, 2017 · 6:39 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^F1	Aug 17, 2017	P	13,500	$12.29	A	13,500	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Deferred Stock Units^F3,F2	—	holding	—	—	—	—	—	Common Stock	59,760	59,760	D

F1The price reported above reflects the weighted average purchase price, rounded to the nearest hundredth. The highest price at which the shares were purchased was $12.29 and the lowest price at which the shares were purchased was $12.2899. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote in this Form 4.
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, including 10,956 DSUs acquired pursuant to dividend reinvestment for which no additional price was paid.