0001104659-22-002376.txt : 20220107 0001104659-22-002376.hdr.sgml : 20220107 20220107185749 ACCESSION NUMBER: 0001104659-22-002376 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211231 FILED AS OF DATE: 20220107 DATE AS OF CHANGE: 20220107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Seemungal Natasha CENTRAL INDEX KEY: 0001903410 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13991 FILM NUMBER: 22519288 MAIL ADDRESS: STREET 1: C/O MFA FINANCIAL, INC. STREET 2: ONE VANDERBILT AVENUE - 48TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 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 3 1 tm221651-8_3seq1.xml OWNERSHIP DOCUMENT X0206 3 2021-12-31 0 0001055160 MFA FINANCIAL, INC. MFA 0001903410 Seemungal Natasha C/O MFA FINANCIAL, INC. ONE VANDERBILT AVENUE - 48TH FLOOR NEW YORK NY 10017 0 1 0 0 Sr. VP & Co-Controller Common Stock, par value $0.01 per share 6765 D 7.5% Series B Cumulative Redeemable Preferred Stock 0 D 6.5% Series C Fixed- to-Float Rate Cum Redeem Pfd Stk* 0 D Common Stock, par value $0.01 per share 0 I N/A 7.5% Series B Cumulative Redeemable Preferred Stock 0 I N/A 6.5% Series C Fixed- to-Float Rate Cum Redeem Pfd Stk* 0 I N/A Phantom Shares Common Stock 18639 D Phantom Shares Common Stock 6000 D Phantom Shares Common Stock 6000 D Phantom Shares Common Stock 20564 D Of the amount reported, 4,000 phantom shares vested on December 31, 2021; 4,000 phantom shares are scheduled to vest, subject to forfeiture, onDecember 31, 2022; and 10,639 phantom shares are scheduled to vest, subject to forfeiture, on December 31, 2023. Phantom shares will be settled in anequivalent number of shares of MFA common stock within 30 days following the vesting date. Each phantom share represents the right to receive one share of MFA Financial, Inc. common stock. These phantom shares are performance-based equity awards. The number of phantom shares reported represents the "target" number of phantom shares granted. The number of underlying shares of MFA common stock that the recipient becomes entitled to receive at the time of vesting will generally range from 0% to 200% of the target number of phantom shares granted, subject to the achievement of a pre-established performance metric. These phantom shares were granted on February 1, 2019, and their vesting is based on MFA's absolute total stockholder return (TSR) and MFA's TSR as compared to the TSR of a designated peer group of companies, in each case for the three years ended December 31, 2021. The number of phantom shares to vest will be determined in January 2022. The number of phantom shares to vest will be adjusted to reflect the value of any dividends paid on MFA's common stock during the vesting period in respect of the number of phantom shares that ultimately vest. The phantom shares will be settled in an equivalent number of shares of MFA common stock within 30 days following the vesting date. These phantom shares are performance-based equity awards. The number of phantom shares reported represents the "target" number of phantom shares granted. The number of underlying shares of MFA common stock that the recipient becomes entitled to receive at the time of vesting will generally range from 0% to 200% of the target number of phantom shares granted, subject to the achievement of a pre-established performance metric. These phantom shares were granted on February 10, 2020, and their vesting will generally occur on December 31, 2022, based on MFA's absolute total stockholder return (TSR) and MFA's TSR as compared to the TSR of a designated peer group of companies, in each case for the three years then ended. These phantom shares are performance-based equity awards. The number of phantom shares reported represents the "target" number of phantom shares granted. The number of underlying shares of MFA common stock that the recipient becomes entitled to receive at the time of vesting will generally range from 0% to 200% of the target number of phantom shares granted, subject to the achievement of a pre-established performance metric. These phantom shares were granted on January 4, 2021, and their vesting will generally occur on December 31, 2023, based on MFA's absolute total stockholder return (TSR) and MFA's TSR as compared to the TSR of a designated peer group of companies, in each case for the three years then ended. * 6.5% Series C Fixed- to-Floating Rate Cumulative Redeemable Preferred Stock /s/ Natasha Seemungal 2022-01-07