SEC Form 5 · accession 0001628280-19-000420

ANNALY CAPITAL MANAGEMENT INC · NLY

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

Reporting owner

Donnell Segalas

Director

Period of report

Dec 31, 2018

Accepted (ET)

Jan 18, 2019 · 6:04 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	—	—	—	102,450	D
Common Stock^F1	holding	—	—	—	3,000	I	See note
Common Stock^F2	holding	—	—	—	450	I	See note
Common Stock^F2	holding	—	—	—	450	I	See note
Common Stock^F3	holding	—	—	—	500	D
Common Stock^F3	holding	—	—	—	500	D
Common Stock^F4	holding	—	—	—	2,100	I	See note

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 Stock^F5	$13.25	holding	—	—	—	Apr 22, 2010	Apr 22, 2019	Common Stock	37,500	37,500	D
Deferred Stock Units^F7,F6	—	holding	—	—	—	—	—	Common Stock	91,731	91,731	D

Explanation of responses

F1Represents shares of Common Stock held by The Hercules Segalas Irrevocable Trust (the "Segalas Trust") for the benefit of an immediate family member of the reporting person. The reporting person is sole trustee of the Segalas Trust. The reporting person disclaims beneficial ownership of shares of Common Stock held by the Segalas Trust.
F2Represents shares of Common Stock held by daughter. The reporting person disclaims beneficial ownership of these shares.
F3Represents shares of Common Stock held jointly with daughter.
F4Represents shares of Common Stock held by The Katherine Lacy Segalas Devlin Irrevocable Trust (the "Devlin Trust") for the benefit of an immediate family member of the reporting person. The reporting person is co-trustee of the Devlin Trust. The reporting person disclaims beneficial ownership of shares of Common Stock held by the Devlin Trust.
F5Options previously granted. All options are currently vested.
F6The 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 reporting person 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.
F7Reflects 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 reinvestments for which no additional price was paid.