SEC Form 4 · accession 0001140361-16-053933
CHIMERA INVESTMENT CORP · CIM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Choudhary Yarlagadda
Officer — Chief Operating Officer
Period of report
Feb 16, 2016
Accepted (ET)
Feb 18, 2016 · 4:50 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001409493
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F3 | Feb 16, 2016 | A | 40,066 | $0.00 | A | 81,550 | D | |
| Common StockF3 | Feb 16, 2016 | A | 11,932 | $0.00 | A | 93,482 | D | |
| Common StockF4 | holding | — | — | — | 219,457 | I | By Spouse | |
| Common StockF5 | holding | — | — | — | 12,669 | I | By Spouse as UTMA custodian for son |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of Chimera common stock underlying restricted stock units ("RSUs"). The RSUs are scheduled to vest one-third per year on the first, second and third anniversaries of the grant date and shall be settled 100% in shares of Chimera common stock. The reporting person does not intend to report the vesting of the RSUs nor the delivery of the shares of common stock.
- F2The reporting person elected to defer share settlement until separation of service.
- F3Each RSU has the economic equivalent of one share of Chimera common stock.
- F4The reporting person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- F5Shares are held by the reporting person's spouse as custodian for the reporting person's son under the Uniform Transfer to Minors Act. The reporting person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.