0001140361-14-023099.txt : 20140527 0001140361-14-023099.hdr.sgml : 20140526 20140527160753 ACCESSION NUMBER: 0001140361-14-023099 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140522 FILED AS OF DATE: 20140527 DATE AS OF CHANGE: 20140527 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ANNALY CAPITAL MANAGEMENT INC CENTRAL INDEX KEY: 0001043219 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 223479661 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1211 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 212 696 0100 MAIL ADDRESS: STREET 1: 1211 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10036 FORMER COMPANY: FORMER CONFORMED NAME: ANNALY MORTGAGE MANAGEMENT INC DATE OF NAME CHANGE: 19970729 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NORDBERG E WAYNE CENTRAL INDEX KEY: 0001111624 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13447 FILM NUMBER: 14870003 MAIL ADDRESS: STREET 1: 2 WORLD TRDE CENTER 85TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10048 4 1 doc1.xml FORM 4 X0306 4 2014-05-22 0 0001043219 ANNALY CAPITAL MANAGEMENT INC NLY 0001111624 NORDBERG E WAYNE C/O ANNALY CAPITAL MANAGEMENT, INC. 1211 AVENUE OF THE AMERICAS, SUITE 2902 NEW YORK NY 10036 1 0 0 0 Common Stock 43250 D Common Stock 10000 I By Olivia Nordberg Trust Common Stock 9000 I By Spouse Option to purchase Common Stock 17.07 2006-07-07 2015-07-07 Common Stock 15000 15000 D Option to purchase Common Stock 11.72 2007-02-13 2016-02-13 Common Stock 15000 15000 D Option to purchase Common Stock 16.46 2009-05-08 2018-05-08 Common Stock 20000 20000 D Option to purchase Common Stock 15.61 2009-09-19 2018-09-19 Common Stock 20000 20000 D Option to purchase Common Stock 13.25 2010-04-22 2019-04-22 Common Stock 50000 50000 D Option to purchase Common Stock 15.09 2009-06-26 2014-06-26 Common Stock 1250 1250 D Option to purchase Common Stock 17.24 2010-06-28 2015-06-28 Common Stock 1250 1250 D Option to purchase Common Stock 18.67 2011-06-27 2016-06-27 Common Stock 1250 1250 D Option to purchase Common Stock 17.11 2012-06-26 2017-06-26 Common Stock 1250 1250 D Deferred Stock Units Common Stock 10512 10512 D Deferred Stock Units 2014-05-22 4 A 0 11539 0 A Common Stock 11539 11539 D Options previously granted. The Deferred Stock Units convert to shares of Common Stock on a one-for-one basis following a termination of service as described in Annaly Capital Management, Inc. 2010 Equity Incentive Plan. Includes Deferred Stock Units issued as a result of dividends reinvested as additional Deferred Stock Units pursuant to the Annaly Capital Management, Inc. 2010 Equity Incentive Plan. The Deferred Stock Units convert to shares of Common Stock on a one-for-one basis following a termination of service as described in Annaly Capital Management, Inc. 2010 Equity Incentive Plan. /s/ E. Wayne Nordberg 2014-05-22