0001628280-24-003377.txt : 20240205 0001628280-24-003377.hdr.sgml : 20240205 20240205180236 ACCESSION NUMBER: 0001628280-24-003377 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240201 FILED AS OF DATE: 20240205 DATE AS OF CHANGE: 20240205 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Finkelstein David L CENTRAL INDEX KEY: 0001688537 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13447 FILM NUMBER: 24597214 MAIL ADDRESS: STREET 1: ANNALY CAPITAL MANAGEMENT, INC. STREET 2: 1211 AVE. OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10036 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ANNALY CAPITAL MANAGEMENT INC CENTRAL INDEX KEY: 0001043219 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] ORGANIZATION NAME: 05 Real Estate & Construction 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 wk-form4_1707174145.xml FORM 4 X0508 4 2024-02-01 0 0001043219 ANNALY CAPITAL MANAGEMENT INC NLY 0001688537 Finkelstein David L C/O ANNALY CAPITAL MANAGEMENT, INC. 1211 AVENUE OF THE AMERICAS NEW YORK NY 10036 1 1 0 0 CEO and CIO 0 Common Stock 2024-02-01 4 M 0 19994 0 A 558963 D Common Stock 2024-02-01 4 F 0 59271 19.57 D 499692 D Common Stock 2024-02-01 4 A 0 212777 0 A 712469 D 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. Represents shares surrendered to the issuer to satisfy a tax withholding obligation in connection with the vesting on February 1, 2024 of restricted stock awards previously granted on February 1, 2022 and February 1, 2023. Represents restricted stock units granted pursuant to the Annaly Capital Management, Inc. 2020 Equity Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of common stock of Annaly Capital Management, Inc., par value $0.01 per share. The restricted stock units vest ratably over three years beginning on the one-year anniversary of the grant date (subject to accelerated vesting under certain circumstances). /s/ Anthony C. Green, as Attorney-in-Fact for David L. Finkelstein 2024-02-05