SEC Form 5 · accession 0001628280-19-000417
ANNALY CAPITAL MANAGEMENT INC · NLY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan D Green
Director
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 |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 45,750 | 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 StockF1 | $13.25 | holding | — | — | — | Apr 22, 2010 | Apr 22, 2019 | Common Stock | 50,000 | 50,000 | D |
| Deferred Stock UnitsF3,F2 | — | holding | — | — | — | — | — | Common Stock | 99,758 | 99,758 | D |
Explanation of responses
- F1Options previously granted. All options are currently vested.
- F2The 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. The reporting person has elected such deferred settlement for all DSUs reported above.
- F3Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions, including 28,734 DSUs acquired pursuant to dividend reinvestments for which no additional price was paid.