0001055160-13-000056.txt : 20130703 0001055160-13-000056.hdr.sgml : 20130703 20130703122029 ACCESSION NUMBER: 0001055160-13-000056 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130701 FILED AS OF DATE: 20130703 DATE AS OF CHANGE: 20130703 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MFA FINANCIAL, INC. CENTRAL INDEX KEY: 0001055160 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 133974868 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 350 PARK AVENUE STREET 2: 20TH FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2122076400 MAIL ADDRESS: STREET 1: 350 PARK AVE STREET 2: 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: MFA MORTGAGE INVESTMENTS DATE OF NAME CHANGE: 20020809 FORMER COMPANY: FORMER CONFORMED NAME: AMERICA FIRST MORTGAGE INVESTMENTS INC DATE OF NAME CHANGE: 19980211 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GORIN WILLIAM S CENTRAL INDEX KEY: 0001203597 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13991 FILM NUMBER: 13952012 MAIL ADDRESS: STREET 1: C/O MFA MORTGAGE INVESTMENTS, INC. STREET 2: 350 PARK AVENUE, 21ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-07-01 0001055160 MFA FINANCIAL, INC. MFA 0001203597 GORIN WILLIAM S C/O MFA FINANCIAL, INC. 350 PARK AVENUE, 20TH FLOOR NEW YORK, NY 10022 1 1 0 0 President Common Stock 2013-07-01 4 F 0 10468 8.54 D 669383 D Phantom Shares 2013-07-01 4 A 0 12500 0 A Common Stock 12500 259751 D Phantom Shares 2013-07-01 4 A 0 25000 0 A Common Stock 25000 284751 D Each phantom share represents the right to receive one share of MFA Financial, Inc. common stock. One-third of these phantom shares are scheduled to vest, subject to forfeiture, on each of June 30, 2014, 2015 and 2016, and thereafter will be settled in an equivalent number of shares of MFA common stock within 30 days of each respective vesting date. One-third of these phantom shares are scheduled to vest, subject to forfeiture, on each of June 30, 2014, 2015 and 2016 (subject, in each case, to MFA's achievement of specified performance goals), and thereafter will be settled in an equivalent number of shares of MFA common stock within 30 days of each respective vesting date. The reported disposition represents the surrender of shares to satisfy tax obligations arising from the vesting of one or more previously granted restricted stock awards. /s/ William S. Gorin 2013-07-03