SEC Form 5 · accession 0001628280-19-000418

ANNALY CAPITAL MANAGEMENT INC · NLY

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Dec 31, 2018

Accepted (ET)

Jan 18, 2019 · 6:03 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001043219

Table I — non-derivative securities

Security	Date	Code	Shares	A/D	Owned after	D/I	Nature of ownership
Common Stock	holding	—	—	—	53,150	D
Common Stock^F1	holding	—	—	—	48,750	I	By the Kevin P Brady Family Trust
Common Stock^F1	holding	—	—	—	42,500	I	By wife
Common Stock^F1	holding	—	—	—	750	I	By daughter
Common Stock^F1	holding	—	—	—	750	I	By daughter

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Option to purchase Common Stock^F2	$13.25	holding	—	—	—	Apr 22, 2010	Apr 22, 2019	Common Stock	12,500	12,500	D
Deferred Stock Units^F4,F3	—	holding	—	—	—	—	—	Common Stock	91,731	91,731	D

F1The 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.
F2Options previously granted. All options are currently vested.
F3The 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.
F4Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions, including 20,707 DSUs acquired pursuant to dividend reinvestment for which no additional price was paid.