SEC Form 4 · accession 0001140361-17-042252

ANNALY CAPITAL MANAGEMENT INC · NLY

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

Reporting owner

Donnell Segalas

Director

Period of report

Nov 10, 2017

Accepted (ET)

Nov 13, 2017 · 7:12 pm EST

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	Nov 10, 2017	P	8,800	$11.34	A	102,450	D
Common Stock^F1	Nov 10, 2017	P	3,000	$11.34	A	3,000	I	See note
Common Stock^F2	Nov 10, 2017	P	450	$11.315	A	450	I	See note
Common Stock^F2	Nov 10, 2017	P	450	$11.3264	A	450	I	See note
Common Stock^F3	Nov 10, 2017	P	500	$11.325	A	500	D
Common Stock^F3	Nov 10, 2017	P	500	$11.315	A	500	D
Common Stock^F4	holding	—	—		—	2,100	I	See note

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 Stock^F5	$16.46	holding	—	—	—	—	May 8, 2018	Common Stock	20,000	20,000	D
Option to purchase Common Stock^F5	$15.61	holding	—	—	—	—	Sep 19, 2018	Common Stock	20,000	20,000	D
Option to purchase Common Stock^F5	$13.25	holding	—	—	—	—	Apr 22, 2019	Common Stock	37,500	37,500	D
Deferred Stock Units^F7,F6	—	holding	—	—	—	—	—	Common Stock	70,689	70,689	D

Explanation of responses

F1Represents shares of Common Stock held by The Hercules Segalas Irrevocable Trust (the "Segalas Trust") for the benefit of an immediate family member of the reporting person. The reporting person is sole trustee of the Segalas Trust. The reporting person disclaims beneficial ownership of shares of Common Stock held by the Segalas Trust.
F2Represents shares of Common Stock held by daughter. The reporting person disclaims beneficial ownership of these shares.
F3Represents shares of Common Stock held jointly with daughter.
F4Represents shares of Common Stock held by The Katherine Lacy Segalas Devlin Irrevocable Trust (the "Devlin Trust") for the benefit of an immediate family member of the reporting person. The reporting person is co-trustee of the Devlin Trust. The reporting person disclaims beneficial ownership of shares of Common Stock held by the Devlin Trust.
F5Options previously granted. All options are currently vested.
F6The 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 reporting person 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.
F7Reflects the aggregate amount of DSUs granted during the reporting person's tenure net of any conversions, including 12,523 DSUs acquired pursuant to dividend reinvestment for which no additional price was paid.