Filing Details
- Accession Number:
- 0001227799-13-000002
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-05-02 17:36:52
- Reporting Period:
- 2012-12-21
- Filing Date:
- 2013-05-02
- Accepted Time:
- 2013-05-02 17:36:52
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
766701 | Capstead Mortgage Corp | CMO | Real Estate Investment Trusts (6798) | 752027937 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1227799 | M Paul Low | 8401 N. Central Expressway Suite 800 Dallas TX 75225 | Yes | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Disposition | 2012-12-21 | 2,400 | $12.02 | 23,133 | No | 4 | S | Direct | |
Common Stock | Disposition | 2012-12-21 | 1,000 | $12.01 | 22,133 | No | 4 | S | Direct | |
Common Stock | Disposition | 2013-05-02 | 1,500 | $12.97 | 20,633 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series B Convertible Preferred | Disposition | 2012-12-21 | 613 | $14.45 | 367 | $0.00 |
Common Stock | Series B Convertible Preferred | Disposition | 2012-12-21 | 387 | $14.37 | 231 | $0.00 |
Common Stock | Series B Convertible Preferred | Disposition | 2013-05-01 | 1,009 | $15.15 | 603 | $0.00 |
Common Stock | Series B Convertible Preferred | Disposition | 2013-05-02 | 991 | $15.22 | 593 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
24,387 | No | 4 | S | Direct | ||
24,000 | No | 4 | S | Direct | ||
22,991 | No | 4 | S | Direct | ||
22,000 | No | 4 | S | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 0 | Indirect | by Trust |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Series B Convertible Preferred | $0.00 | 221 | 380 | Indirect |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
221 | 380 | Indirect |
Footnotes
- Director stock option granted pursuant to the Capstead Mortgage Corporation 1990 Director Stock Option Plan.
- The shares are held in a trust account for the benefit of the reporting person's granddaughter. The reporting person is co-trustee and has investment control over the trust.
- The Capstead $1.26 Cumulative Convertible Preferred Stock, Series B, is traded on the New York Stock exchange under the symbol CMOPRB. The preferred stock is perpetual and is convertible into the Capstead common stock at any time at the stockholder's option. The preferred stock is callable at the option of the company at $12.50 per share and an exercise date and price are not applicable.
- The shares are held in a trust for the benefit of the reporting person's grandson. The reporting person is co-trustee and has investment control over the trust.