Statement of Changes in Beneficial Ownership (4)
July 14 2021 - 05:56PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
|
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OMB Number: 3235-0287
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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1. Name
and Address of Reporting Person *
Finkelstein David L |
2. Issuer Name and Ticker or Trading
Symbol ANNALY CAPITAL MANAGEMENT INC [ NLY ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
CEO and CIO |
(Last)
(First)
(Middle)
C/O ANNALY CAPITAL MANAGEMENT, INC., 1211 AVENUE OF THE
AMERICAS |
3. Date of Earliest Transaction (MM/DD/YYYY)
6/30/2021
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(Street)
NEW YORK, NY 10036
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
6/30/2021 |
|
M |
|
14840 (1) |
A |
$0 |
1117613 |
D |
|
Common Stock |
6/30/2021 |
|
F |
|
75504 (2) |
D |
$8.88 |
1042109 |
D |
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of
Responses: |
(1) |
Represents the settlement of
dividend equivalent rights in connection with vesting of previously
issued and reported restricted stock units. The dividend equivalent
rights accrued when and as dividends were paid on Annaly Capital
Management, Inc.'s common stock and vested proportionately with the
underlying restricted stock units in respect of which they were
credited. The dividend equivalent rights convert to Annaly Capital
Management, Inc.'s common stock on a one-for-one basis. |
(2) |
Represents shares
surrendered to the issuer to satisfy a tax withholding obligation
in connection with the vesting on June 30, 2021 of a restricted
stock award previously granted on June 30, 2020. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Finkelstein David L
C/O ANNALY CAPITAL MANAGEMENT, INC.
1211 AVENUE OF THE AMERICAS
NEW YORK, NY 10036 |
X |
|
CEO and CIO |
|
Signatures
|
/s/ Anthony C. Green, as Attorney-in-Fact for
David L. Finkelstein |
|
7/14/2021 |
**Signature of
Reporting Person |
Date |
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