SEC Form 4 · accession 0001225385-17-000011
DYNEX CAPITAL INC · DX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Smriti Laxman Popenoe
Officer — EVP and Co-CIO
Period of report
Feb 15, 2017
Accepted (ET)
Feb 17, 2017 · 5:35 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000826675
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 15, 2017 | F | 8,504 | $6.69 | D | 78,098 | D | |
| Common StockF2 | Feb 16, 2017 | A | 17,122 | $0.00 | A | 95,220 | D | |
| Common StockF3 | Feb 16, 2017 | A | 2,589 | $0.00 | A | 97,809 | D | |
| Common StockF4 | holding | — | — | — | 15,185 | I | Through 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects shares withheld upon vesting of restricted stock to satisfy tax withholding obligations.
- F2Restricted shares issued to the reporting person representing 1/3 of the reporting person's bonus earned under the short-term incentive component of the Dynex Capital, Inc. Executive Incentive Plan for the performance period ended December 31, 2016. The shares vest in three equal annual installments beginning February 15, 2018.
- F3Unrestricted shares issued to the reporting person representing 1/3 of the reporting person's bonus earned under the long-term incentive component of the Dynex Capital, Inc. Executive Incentive Plan for the performance period ended December 31, 2016.
- F4Includes additional shares not previously reported that were acquired by the reporting person through the Dynex Capital, Inc. 401(k) Plan.