0001140361-17-001933.txt : 20170113 0001140361-17-001933.hdr.sgml : 20170113 20170113190816 ACCESSION NUMBER: 0001140361-17-001933 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170113 DATE AS OF CHANGE: 20170113 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: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13447 FILM NUMBER: 17528862 MAIL ADDRESS: STREET 1: C/O HOLLOW BROOK WEALTH MANAGEMENT LLC STREET 2: 420 LEXINGTON AVENUE, SUITE 2840 CITY: NEW YORK STATE: NY ZIP: 10170 5 1 doc1.xml FORM 5 X0306 5 2016-12-31 0 0 0 0001043219 ANNALY CAPITAL MANAGEMENT INC NLY 0001111624 NORDBERG E WAYNE C/O ANNALY CAPITAL MANAGEMENT, INC. 1211 AVENUE OF THE AMERICAS 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 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 17.11 2012-06-26 2017-06-26 Common Stock 1250 1250 D Deferred Stock Units Common Stock 58358 58358 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. Reflects the aggregate amount of Deferred Stock Units granted during the tenure of the respective director. /s/ R. Nicholas Singh, Attorney-In-Fact 2017-01-13