SEC Form 4 · accession 0001104659-18-073093
MFA FINANCIAL, INC. · MFA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald A Freydberg
Officer — Executive Vice President
Period of report
Dec 12, 2018
Accepted (ET)
Dec 14, 2018 · 4:16 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,F2 | Dec 12, 2018 | A | 4,280 | $0.00 | A | 600,504 | D | |
| Common StockF3 | Dec 12, 2018 | F | 2,070 | $7.01 | D | 598,434 | 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 3 below)) are subject to a three-year holding period and may not be sold or otherwise transferred prior to December 12, 2021.
- F2Includes 426.616 shares acquired under the dividend reinvestment feature of the MFA Financial, Inc. Discount Waiver, Direct Stock Purchase and Dividend Reinvestment Plan.
- F3The 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.