0001628280-18-007230.txt : 20180525 0001628280-18-007230.hdr.sgml : 20180525 20180525162615 ACCESSION NUMBER: 0001628280-18-007230 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180523 FILED AS OF DATE: 20180525 DATE AS OF CHANGE: 20180525 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BRADY KEVIN CENTRAL INDEX KEY: 0001239239 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13447 FILM NUMBER: 18861893 MAIL ADDRESS: STREET 1: C/O ANNALY MORTGAGEMANAGEMENT STREET 2: 1211 AVE OF AMERICAS STE. 2902 CITY: NEW YORK STATE: NY ZIP: 10034 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 4 1 wf-form4_152727996214300.xml FORM 4 X0306 4 2018-05-23 0 0001043219 ANNALY CAPITAL MANAGEMENT INC NLY 0001239239 BRADY KEVIN C/O ANNALY CAPITAL MANAGEMENT, INC. 1211 AVENUE OF THE AMERICAS NEW YORK NY 10036 1 0 0 0 Common Stock 53150 D Common Stock 48750 I By the Kevin P. Brady Family Trust Common Stock 42500 I By wife Common Stock 750 I By daughter Common Stock 750 I By daughter Option to purchase Common Stock 15.61 2018-09-19 Common Stock 10000.0 10000 D Option to purchase Common Stock 13.25 2019-04-22 Common Stock 12500.0 12500 D Deferred Stock Units 2018-05-23 4 A 0 12858 0 A Common Stock 12858.0 87121 D Includes 9,000 shares inherited from the reporting person's mother in April 2018, which were previously reported as indirectly held by the reporting person. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such shares for purposes of Section 16 or for any other purpose. Options previously granted. All options are currently vested. The Deferred Stock Units ("DSUs") convert to shares of Common Stock on a one-for-one basis one year after the date of grant unless the director elects to defer the settlement of the DSUs until after a termination of service pursuant to the Annaly Capital Management, Inc. 2010 Equity Incentive Plan. Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions, including 16,097 DSUs acquired pursuant to dividend reinvestments for which no additional price was paid. /s/ Anthony C. Green, as Attorney-in-Fact for Kevin Brady 2018-05-25