SEC Form 4 · accession 0001104659-16-162540
MFA FINANCIAL, INC. · MFA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William S Gorin
Officer — Chief Executive Officer · Director
Period of report
Dec 14, 2016
Accepted (ET)
Dec 16, 2016 · 12:50 pm EST
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 StockF1 | Dec 16, 2016 | A | 179,418 | $0.00 | A | 1,038,587 | D | |
| Common StockF2 | Dec 16, 2016 | F | 100,152 | $7.66 | D | 938,435 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares acquired by the Reporting Person were received as a portion of the Reporting Person's annual incentive compensation and are fully vested as of the date of grant. The net shares acquired (i.e., net of the surrender of a portion of the shares acquired in order to satisfy tax obligations (as described in Note 2 below)) are subject to a three-year holding period and may not be sold or otherwise transferred prior to December 14, 2019.
- F2The reported disposition represents the surrender of shares to satisfy tax obligations arising from the receipt by the Reporting Person of the shares described in Note 1 above.