SEC Form 5 · accession 0001628280-19-000416
ANNALY CAPITAL MANAGEMENT INC · NLY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David L Finkelstein
Officer — Chief Investment Officer
Period of report
Dec 31, 2018
Accepted (ET)
Jan 18, 2019 · 6:02 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 |
|---|---|---|---|---|---|---|---|---|
| Series H Preferred StockF1 | Sep 10, 2018 | A | 5,525 | — | A | 5,525 | D | |
| Common Stock | holding | — | — | — | 300,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1As previously disclosed, in connection with the acquisition by the issuer of MTGE Investment Corp., each of 5,525 outstanding shares of MTGE Investment Corp. Series A preferred stock previously held by Mr. Finkelstein automatically converted into the right to receive one newly issued share of Annaly Capital Management, Inc. Series H preferred stock.