SEC Form 4/A · accession 0001104659-16-088038
MFA FINANCIAL, INC. · MFA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
William S Gorin
Officer — Chief Executive Officer · Director
Period of report
Jul 15, 2015
Accepted (ET)
Jan 5, 2016 · 3:49 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001055160
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom SharesF1,F2 | — | Jul 15, 2015 | M | 8,375 | D | Jul 15, 2015 | Jul 15, 2015 | Common Stock | 8,375 | 486,054 | D |
Explanation of responses
- F1Settlement of vested portion of time-based phantom shares granted to the Reporting Person in each of July 2012 and July 2013. Each phantom share is the economic equivalent of one share of common stock of MFA Financial, Inc. Each phantom share was settled in one share of common stock of MFA Financial, Inc.
- F2Number of derivative securities reported corrects information reported on Form 4 filed on July 17, 2015.
Remarks
The Reporting Person is filing this Form 4/A to correct the information set forth in Column 9 of Table II of the Form 4 filed on July 17, 2015. Other than the correction described in the preceding sentence, no other information of the subject Form 4 is being amended or corrected hereby.