0001628280-19-014551.txt : 20191126 0001628280-19-014551.hdr.sgml : 20191126 20191126170624 ACCESSION NUMBER: 0001628280-19-014551 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191125 FILED AS OF DATE: 20191126 DATE AS OF CHANGE: 20191126 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Schaefer John H CENTRAL INDEX KEY: 0001188749 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13447 FILM NUMBER: 191252060 MAIL ADDRESS: STREET 1: 1211 AVE. OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10036 FORMER NAME: FORMER CONFORMED NAME: SCHAEFER JOHN H DATE OF NAME CHANGE: 20020912 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ANNALY CAPITAL MANAGEMENT INC CENTRAL INDEX KEY: 0001043219 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 223479661 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1211 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 212 696 0100 MAIL ADDRESS: STREET 1: 1211 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10036 FORMER COMPANY: FORMER CONFORMED NAME: ANNALY MORTGAGE MANAGEMENT INC DATE OF NAME CHANGE: 19970729 4 1 wf-form4_157480596678637.xml FORM 4 X0306 4 2019-11-25 0 0001043219 ANNALY CAPITAL MANAGEMENT INC NLY 0001188749 Schaefer John H C/O ANNALY CAPITAL MANAGEMENT, INC. 1211 AVENUE OF THE AMERICAS NEW YORK NY 10036 1 0 0 0 Common Stock 2019-11-25 4 P 0 10000 9.21 A 87494 D Deferred Stock Units Common Stock 68794.0 68794 D The price reported above reflects the weighted average purchase price, rounded to the nearest hundredth. The highest price at which the shares were purchased was $9.21 and the lowest price at which the shares were purchased was $9.20. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote in this Form 4. 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 the DSUs reported above. Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions, including 18,365 DSUs acquired pursuant to dividend reinvestment for which no additional price was paid. /s/ Anthony C. Green, as Attorney-in-Fact for John H. Schaefer 2019-11-26