SEC Form 5 · accession 0001628280-19-000425
ANNALY CAPITAL MANAGEMENT INC · NLY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wellington Denahan
Director
Period of report
Dec 31, 2018
Accepted (ET)
Jan 18, 2019 · 6:07 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 | — | — | — | 1,798,414 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock UnitsF1 | — | holding | — | — | — | — | — | Common Stock | 12,858 | 12,858 | D |
Explanation of responses
- F1The 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 not elected such deferred settlement.