SEC Form 4 · accession 0001104659-18-040092
MFA FINANCIAL, INC. · MFA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George H Krauss
Director
Period of report
Jun 13, 2018
Accepted (ET)
Jun 14, 2018 · 11:19 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 Stock | Jun 13, 2018 | M | 15,706 | $7.74 | A | 104,747 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom SharesF2 | — | Jun 13, 2018 | M | 15,706 | D | Jun 13, 2018 | Jun 13, 2018 | Common Stock | 15,706 | 119,496 | D |
Explanation of responses
- F1Shares acquired pursuant to the settlement of restricted stock units (i.e., phantom stock) granted to the Reporting Person in May 2013.
- F2Settlement of restricted stock units (i.e., phantom stock) granted to the Reporting Person in May 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.