0001628280-19-000473.txt : 20190122 0001628280-19-000473.hdr.sgml : 20190122 20190122163347 ACCESSION NUMBER: 0001628280-19-000473 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190122 DATE AS OF CHANGE: 20190122 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: 19535692 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 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 5 1 wf-form5_154819281088345.xml FORM 5 X0306 5 2018-12-31 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 13.25 2010-04-22 2019-04-22 Common Stock 50000.0 50000 D Deferred Stock Units Common Stock 99758.0 99758 D 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. The reporting person has elected such deferred settlement for all DSUs reported above. Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions, including 28,734 DSUs acquired pursuant to dividend reinvestments for which no additional price was paid. /s/ Anthony C. Green, as Attorney-in-Fact for E. Wayne Nordberg 2019-01-22