SEC Form 4 · accession 0001140361-17-045527
ANNALY CAPITAL MANAGEMENT INC · NLY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wellington Denahan
Officer — Chairman of Board/Exec. Chair. · Director
Period of report
Dec 7, 2017
Accepted (ET)
Dec 8, 2017 · 6:10 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 StockF1 | Dec 7, 2017 | P | 125,280 | $11.9731 | A | 1,798,414 | D |
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, 2009 | May 8, 2018 | Common Stock | 200,000 | 200,000 | D |
| Option to purchase Common StockF2 | $15.61 | holding | — | — | — | Sep 19, 2009 | Sep 19, 2018 | Common Stock | 200,000 | 200,000 | D |
Explanation of responses
- F1The price reported above reflects the weighted average purchase price. The highest price at which the shares were purchased was $11.99 and the lowest price at which the shares were purchased was $11.955. 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.
- F2Options previously granted. All options are currently vested.