0001104659-18-073097.txt : 20181214 0001104659-18-073097.hdr.sgml : 20181214 20181214161841 ACCESSION NUMBER: 0001104659-18-073097 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181212 FILED AS OF DATE: 20181214 DATE AS OF CHANGE: 20181214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Schwartz Harold E CENTRAL INDEX KEY: 0001527449 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13991 FILM NUMBER: 181235781 MAIL ADDRESS: STREET 1: 350 PARK AVENUE, 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MFA FINANCIAL, INC. CENTRAL INDEX KEY: 0001055160 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 133974868 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 350 PARK AVENUE STREET 2: 20TH FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2122076400 MAIL ADDRESS: STREET 1: 350 PARK AVE STREET 2: 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: MFA MORTGAGE INVESTMENTS DATE OF NAME CHANGE: 20020809 FORMER COMPANY: FORMER CONFORMED NAME: AMERICA FIRST MORTGAGE INVESTMENTS INC DATE OF NAME CHANGE: 19980211 4 1 a4.xml 4 X0306 4 2018-12-12 0 0001055160 MFA FINANCIAL, INC. MFA 0001527449 Schwartz Harold E C/O MFA FINANCIAL, INC. 350 PARK AVENUE, 20TH FLOOR NEW YORK NY 10022 0 1 0 0 Senior Vice President Common Stock 2018-12-12 4 A 0 9558 0 A 76202 D Common Stock 2018-12-12 4 F 0 4871 7.01 D 71331 D The shares acquired by the Reporting Person were received as a portion of the Reporting Person's annual incentive compensation and are fully vested as of the date of grant. The net shares acquired (i.e., net of the surrender of a portion of the shares acquired in order to satisfy tax obligations (as described in Note 2 below)) are subject to a three-year holding period and may not be sold or otherwise transferred prior to December 12, 2021. The reported disposition represents the surrender of shares to satisfy tax obligations arising from the receipt by the Reporting Person of the shares described in Note 1 above. /s/ Harold E. Schwartz 2018-12-14