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
- 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.
- Options previously granted. All options are currently vested.
- 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.
- 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.