SEC Form 4 · accession 0001104659-17-003957
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
Jan 24, 2017
Accepted (ET)
Jan 25, 2017 · 10:54 am 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 StockF2 | Jan 24, 2017 | M | 67,054 | $0.00 | A | 1,120,640 | D | |
| Common Stock | Jan 24, 2017 | F | 35,854 | $7.90 | D | 1,084,786 | 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 | — | Jan 24, 2017 | M | 67,054 | D | Jan 24, 2017 | Jan 24, 2017 | Common Stock | 67,054 | 534,900 | D |
Explanation of responses
- F1Shares acquired pursuant to the settlement of restricted stock units (i.e., phantom stock) granted to the Reporting Person on January 24, 2014.
- F2Each 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.
- F3The reported disposition represents the surrender of shares to satisfy tax obligations arising from the settlement of phantom shares described in Note 1 above.
- F4Settlement of restricted stock units (i.e., phantom stock) granted to the Reporting Person on January 24, 2014. 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.