0000845877-18-000123.txt : 20180523 0000845877-18-000123.hdr.sgml : 20180523 20180523164006 ACCESSION NUMBER: 0000845877-18-000123 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180521 FILED AS OF DATE: 20180523 DATE AS OF CHANGE: 20180523 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lynch Robert Dale CENTRAL INDEX KEY: 0001465169 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14951 FILM NUMBER: 18855524 MAIL ADDRESS: STREET 1: C/O 1999 K STREET NW STREET 2: 4TH FLOOR CITY: WASHINGTON STATE: DC ZIP: 20006 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: FEDERAL AGRICULTURAL MORTGAGE CORP CENTRAL INDEX KEY: 0000845877 STANDARD INDUSTRIAL CLASSIFICATION: FEDERAL & FEDERALLY-SPONSORED CREDIT AGENCIES [6111] IRS NUMBER: 521578738 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1999 K STREET NW, STREET 2: 4TH FLOOR CITY: WASHINGTON STATE: DC ZIP: 20006 BUSINESS PHONE: 2028727700 MAIL ADDRESS: STREET 1: 1999 K STREET NW, STREET 2: 4TH FLOOR CITY: WASHINGTON STATE: DC ZIP: 20006 4 1 wf-form4_152710799174356.xml FORM 4 X0306 4 2018-05-21 0 0000845877 FEDERAL AGRICULTURAL MORTGAGE CORP AGM 0001465169 Lynch Robert Dale C/O 1999 K STREET NW 4TH FLOOR WASHINGTON DC 20006 0 1 0 0 EVP - Chief Financial Officer Class C Non-Voting Common Stock 2018-05-21 4 M 0 5430 33.90 A 28479 D Class C Non-Voting Common Stock 2018-05-21 4 F 0 1542 91.42 D 26937 D Class C Non-Voting Common Stock 2018-05-21 4 D 0 2013 91.42 D 24924 D Class C Non-Voting Common Stock 2018-05-22 4 S 0 1875 91.2553 D 23049 D Stock Appreciation Right 33.9 2018-05-21 4 M 0 5430 33.90 D 2024-04-02 Class C Non-Voting Common Stock 5430.0 0 D Transaction effected during an open trading window for employees and directors of the Federal Agricultural Mortgage Corporation ("Farmer Mac"). In connection with the net share settlement of the exercise of 5,430 vested stock appreciation rights ("SARs") granted in April 2014 with a grant price of $33.90 per share, Mr. Lynch was entitled to receive 3,417 shares of Farmer Mac Class C Non-Voting Common Stock. Farmer Mac retained 1,542 shares to satisfy tax withholding requirements arising from the exercise, and 1,875 shares retained by Mr. Lynch were sold on May 22, 2018. The 2,013 shares reported as a disposition to the issuer of issuer equity securities represents the difference between the number of SARs exercised and the number of shares issuable as a result of the exercise. Each SAR represents the right to receive, upon exercise, the number of shares of Farmer Mac's Class C Non-Voting Common Stock equal to the excess of the fair market value of shares on the exercise date over the grant price. Includes 11,510 shares of unvested restricted stock previously granted pursuant to Farmer Mac's Amended and Restated 2008 Omnibus Incentive Plan. The grants of restricted stock have been described in detail in Farmer Mac's prior filings with the Securities and Exchange Commission. The price reported in Column 4 is a weighted average price. These shares of Class C Non-Voting Common Stock were sold in multiple transactions at prices ranging from $91.12 to $91.51, inclusive. The Reporting Person undertakes to provide to the Farmer Mac, any security holder of the Farmer Mac, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to Form 4. Exercisable beginning March 31, 2015 with respect to 1,810 shares, beginning March 31, 2016 with respect to 1,810 shares, and beginning March 31, 2017 with respect to 1,810 shares. Anjali Desai, as attorney-in-fact for Robert Dale Lynch 2018-05-23