0001428205-20-000206.txt : 20200527 0001428205-20-000206.hdr.sgml : 20200527 20200527161613 ACCESSION NUMBER: 0001428205-20-000206 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200522 FILED AS OF DATE: 20200527 DATE AS OF CHANGE: 20200527 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ULM SCOTT CENTRAL INDEX KEY: 0001469064 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34766 FILM NUMBER: 20915414 MAIL ADDRESS: STREET 1: 3005 HAMMOCK WAY CITY: VERO BEACH STATE: FL ZIP: 32963 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Armour Residential REIT, Inc. CENTRAL INDEX KEY: 0001428205 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 261908763 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3001 OCEAN DRIVE STREET 2: SUITE 201 CITY: VERO BEACH STATE: FL ZIP: 32963 BUSINESS PHONE: (772) 617-4340 MAIL ADDRESS: STREET 1: 3001 OCEAN DRIVE STREET 2: SUITE 201 CITY: VERO BEACH STATE: FL ZIP: 32963 4 1 wf-form4_159061055524393.xml FORM 4 X0306 4 2020-05-22 0 0001428205 Armour Residential REIT, Inc. ARR 0001469064 ULM SCOTT 3001 OCEAN DRIVE SUITE #201 VERO BEACH FL 32963 1 1 0 0 Co-CEO and CIO Common Stock, par value $0.001 per share 2020-05-22 4 M 0 11700 0 A 166564 D Common Stock, par value $0.001 per share 2020-05-22 4 D 0 4650 8.16 D 161914 D Common Stock, par value $0.001 per share 80000 I By ARMOUR Capital Management LP Phantom Stock 2020-05-22 4 M 0 11700 0 D Common Stock 11700.0 156400 D On May 22, 2020, the reporting person elected to convert 7,050 shares out of 11,700 shares of vested phantom stock into 7,050 shares of ARMOUR common stock. The person elected to convert the remaining 4,650 shares of vested phantom stock into cash solely to pay income taxes on the vested stock. The 11,700 shares are part of, and relate to, phantom stock vesting over five-year periods, which was reported on Form 4 reports filed by the reporting person on November 22, 2017 and January 16, 2020, and phantom stock vesting over a two-and-a-half year period, which was reported on a Form 4 report filed by the reporting person on May 19, 2020. The reported shares were purchased and are owned directly by ARMOUR Capital Management LP ("ACM"), a limited partnership that is the external manager of the issuer. The shares have been reported in the aggregate for both Mr. Ulm herein and Mr. Jeffrey Zimmer, a Co-CEO of the issuer, in a separate Form 4 report. Mr. Ulm is the sole controlling member of Stacumny LLC, which is one of the general partners of ACM, along with an entity controlled by Mr. Zimmer. Mr. Ulm disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Each unit of phantom stock is the economic equivalent of one share of ARMOUR common stock. /s/ Scott J. Ulm 2020-05-27