SEC Form 4 · accession 0001055160-15-000076
MFA FINANCIAL, INC. · MFA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
William S Gorin
Officer — Chief Executive Officer · Director
Period of report
Jul 15, 2015
Accepted (ET)
Jul 17, 2015 · 10:21 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001055160
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Jul 15, 2015 | M | 8,375 | $0.00 | A | 745,934 | D | |
| Common Stock | Jul 15, 2015 | F | 4,679 | $7.64 | D | 741,255 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom SharesF4 | — | Jul 15, 2015 | M | 8,375 | D | Jul 15, 2015 | Jul 15, 2015 | Common Stock | 8,375 | 540,429 | D |
Explanation of responses
- F1Shares acquired pursuant to the settlement of restricted stock units (i.e., phantom stock) granted to the reporting person in each of July 2012, and July 2013.
- F2Each phantom share is the economic equivalent of one share of common stock of MFA Financial, Inc. Each vested phantom share was settled in one share of common stock of MFA Financial, inc.
- F3The reported disposition represents the surrender of shares to satisfy tax obligations arising from the settlement of phantom shares.
- F4Settlement of vested portion of time-based phantom shares granted in each of July 2012 and July 2013. Each phantom share is the economic equivalent of one share of MFA Financial, Inc. common stock of MFA Financial, Inc. Each vested phantom share was settled in one share of common stock of MFA Financial, Inc.