0001227799-12-000001.txt : 20120530 0001227799-12-000001.hdr.sgml : 20120530 20120530185136 ACCESSION NUMBER: 0001227799-12-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090717 FILED AS OF DATE: 20120530 DATE AS OF CHANGE: 20120530 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LOW PAUL M CENTRAL INDEX KEY: 0001227799 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08896 FILM NUMBER: 12878889 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CAPSTEAD MORTGAGE CORP CENTRAL INDEX KEY: 0000766701 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 752027937 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 8401 NORTH CENTRAL EXPRESSWAY STREET 2: STE 800 CITY: DALLAS STATE: TX ZIP: 75225 BUSINESS PHONE: 2148742323 MAIL ADDRESS: STREET 1: 8401 NORTH CENTRAL EXPRESSWAY STREET 2: STE 800 CITY: DALLAS STATE: TX ZIP: 75225 FORMER COMPANY: FORMER CONFORMED NAME: LOMAS MORTGAGE CORP DATE OF NAME CHANGE: 19891105 4 1 edgardoc.xml PRIMARY DOCUMENT X0305 4 2009-07-17 0 0000766701 CAPSTEAD MORTGAGE CORP CMO 0001227799 LOW PAUL M 8401 N. CENTRAL EXPRESSWAY SUITE 800 DALLAS TX 75225 1 0 0 0 Common Stock 32733 D Common Stock 0 I by Trust Series B Convertible Preferred 2009-07-17 4 S 0 5000 13.51 D Common Stock 2990 60000 D Series B Convertible Preferred 2009-09-30 4 S 0 5000 14.3 D Common Stock 2990 55000 D Series B Convertible Preferred 2009-11-12 4 S 0 5000 13.61 D Common Stock 2990 50000 D Series B Convertible Preferred 2010-01-15 4 S 0 5000 14.318 D Common Stock 2990 45000 D Series B Convertible Preferred 2011-03-11 4 S 0 5000 14.036 D Common Stock 2990 30000 D Series B Convertible Preferred 2011-05-23 4 S 0 3000 14.4938 D Common Stock 1794 27000 D Nonqualified Director Stock Option (right to buy) 10.58 2008-04-15 2017-05-07 Common Stock 5000 5000 D Nonqualified Director Stock Option (right to buy) 11.69 2010-04-15 2019-04-30 Common Stock 5000 5000 D Nonqualified Director Stock Option (right to buy) 12.87 2009-04-15 2018-05-05 Common Stock 5000 5000 D Series B Convertible Preferred Common Stock 220.78 380 I by Trust for grndson The shares are held in a trust account for the benefit of the reporting person's granddaughter. The reporting person is co-trustee and has investment control over the trust. The Capstead $1.26 Cumulative Convertible Preferred Stock, Series B, is traded on the New York Stock exchange under the symbol CMOPRB. The preferred stock is perpetual and is convertible into the Capstead common stock at any time at the stockholder's option. The preferred stock is callable at the option of the company at $12.50 per share and an exercise date and price are not applicable. Represents a sale of preferred stock on July 17, 2009 that was inadvertently unreported. Represents a sale of preferred stock on September 30, 2009 that was inadvertently unreported. Represents a sale of preferred stock on November 12, 2009 that was inadvertently unreported. Represents a sale of preferred stock on January 15, 2010 that was inadvertently unreported. Represents a sale of preferred stock on March 11, 2011 that was inadvertently unreported. Represents a sale of preferred stock on May 23, 2011 that was inadvertently unreported. This Form 4 also serves as an amendment to all Form 4s filed for Mr. Low after the date of the first transaction noted above and prior to the date hereof, to properly reflect the cumulative Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) in column 9. The shares are held in a trust for the benefit of the reporting person's grandson. The reporting person is co-trustee and has investment control over the trust. By: Kelly L. Sargent For: Paul M. Low 2012-05-30