SEC Form 4 · accession 0001628280-18-007230
ANNALY CAPITAL MANAGEMENT INC · NLY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin Brady
Director
Period of report
May 23, 2018
Accepted (ET)
May 25, 2018 · 4:26 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 StockF1 | holding | — | — | — | 53,150 | D | ||
| Common StockF2 | holding | — | — | — | 48,750 | I | By the Kevin P. Brady Family Trust | |
| Common StockF2 | holding | — | — | — | 42,500 | I | By wife | |
| Common StockF2 | holding | — | — | — | 750 | I | By daughter | |
| Common StockF2 | holding | — | — | — | 750 | I | By daughter |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock UnitsF5,F4 | — | May 23, 2018 | A | 12,858 | A | — | — | Common Stock | 12,858 | 87,121 | D |
| Option to purchase Common StockF3 | $15.61 | holding | — | — | — | — | Sep 19, 2018 | Common Stock | 10,000 | 10,000 | D |
| Option to purchase Common StockF3 | $13.25 | holding | — | — | — | — | Apr 22, 2019 | Common Stock | 12,500 | 12,500 | D |
Explanation of responses
- F1Includes 9,000 shares inherited from the reporting person's mother in April 2018, which were previously reported as indirectly held by the reporting person.
- F2The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.
- F3Options previously granted. All options are currently vested.
- F4The 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.
- F5Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions, including 16,097 DSUs acquired pursuant to dividend reinvestments for which no additional price was paid.