SEC Form 4 · accession 0001157523-19-000402
CHIMERA INVESTMENT CORP · CIM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Phillip John Kardis II
Officer — Chief Legal Officer
Period of report
Feb 16, 2019
Accepted (ET)
Feb 20, 2019 · 5:34 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, 2019 | A | 40,497 | $0.00 | A | 210,267 | D | |
| Common StockF4 | Feb 16, 2019 | F | 31,674 | $18.52 | D | 178,593 | D |
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.
- F2Each RSU has the economic equivalent of one share of Chimera common stock.
- F3Dividend equivalent rights ("DERs") issued on RSUs are included in the reporting person's common stock holding balance. Each DER is the economic equivalent of one share of Chimera common stock.
- F4Shares reported were withheld for payment of taxes associated with the vesting of prior grants of RSUs.