Filing Details

Accession Number:
0001140361-17-030919
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-08-09 17:26:20
Reporting Period:
2017-08-07
Filing Date:
2017-08-09
Accepted Time:
2017-08-09 17:26:20
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1043219 Annaly Capital Management Inc NLY Real Estate Investment Trusts (6798) 223479661
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1259017 Donnell Segalas C/O Annaly Capital Management, Inc.
1211 Avenue Of The Americas
New York NY 10036
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 Acquisiton 2017-08-07 8,000 $12.09 84,150 No 4 P Direct
Common Stock Acquisiton 2017-08-08 9,000 $12.19 93,150 No 4 P Direct
Common Stock Acquisiton 2017-08-08 500 $12.18 93,650 No 4 P Direct
Common Stock Acquisiton 2017-08-08 200 $12.19 2,100 No 4 P Indirect See footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Indirect See footnote
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Option to purchase Common Stock $16.46 2018-05-08 20,000 20,000 Direct
Common Stock Option to purchase Common Stock $15.61 2018-09-19 20,000 20,000 Direct
Common Stock Option to purchase Common Stock $13.25 2019-04-22 37,500 37,500 Direct
Common Stock Deferred Stock Units $0.00 67,666 67,666 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2018-05-08 20,000 20,000 Direct
2018-09-19 20,000 20,000 Direct
2019-04-22 37,500 37,500 Direct
67,666 67,666 Direct
Footnotes
  1. Represents shares of Common Stock held by The Katherine Lacy Segalas Devlin Irrevocable Trust (the "Trust") for the benefit of an immediate family member of the reporting person. The reporting person is co-trustee of the Trust. Includes a previous gift of 1,900 shares of Common Stock received by the Trust in 2012. The reporting person disclaims beneficial ownership of shares of Common Stock held by the Trust.
  2. Options previously granted. All options are currently vested.
  3. The Deferred Stock Units ("DSUs") convert to shares of Common Stock on a one-for-one basis one year after the date of grant unless the director elects to defer the settlement of the DSUs until after a termination of service pursuant to the Annaly Capital Management, Inc. 2010 Equity Incentive Plan. The reporting person has elected such deferred settlement for all DSUs reported above.
  4. Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions, including 9,500 DSUs acquired pursuant to dividend reinvestment for which no additional price was paid.