SEC Form 4 · accession 0001434805-18-000003
AGNC Investment Corp. · AGNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary D Kain
Officer — Director, CEO, Pres. and CIO · Director
Period of report
Sep 7, 2018
Accepted (ET)
Sep 11, 2018 · 4:15 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001423689
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Sep 7, 2018 | A | 111,640 | $19.11 | A | 1,352,416 | D | |
| Common Stock | holding | — | — | — | 2,500 | I | By custodial account for child | |
| Common Stock | holding | — | — | — | 3,697 | I | By custodial account for child |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Award of Deferred Stock Units (DSUs) issued under the AGNC Investment Corp. 2016 Equity and Incentive Compensation Plan in connection with the conversion of previously granted and deferred awards under the AGNC Mortgage Management, LLC Performance Incentive Plan-MTGE. The DSU award is exempt from Section 16(b) pursuant to Rule 16b-3. The DSUs will convert into shares of common stock on the date(s) specified in the insider's existing deferral election(s).
- F2Includes 10,359 dividend equivalent restricted stock units received on previously granted RSU awards since the Reporting Person's last Form 4 filing.