SEC Form 4 · accession 0001628280-18-007221
ANNALY CAPITAL MANAGEMENT INC · NLY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John H Schaefer
Director
Period of report
May 23, 2018
Accepted (ET)
May 25, 2018 · 4:20 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 | May 25, 2018 | M | 11,451 | $0.00 | A | 77,494 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock UnitsF2,F1 | — | May 23, 2018 | A | 12,858 | A | — | — | Common Stock | 12,858 | 56,397 | D |
| Deferred Stock UnitsF2,F1 | — | May 25, 2018 | M | 11,451 | D | — | — | Common Stock | 11,451 | 44,946 | D |
Explanation of responses
- F1The 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.
- F2Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions, including 10,109 DSUs acquired pursuant to a dividend reinvestment for which no additional price was paid.