0001104659-17-002244.txt : 20170113
0001104659-17-002244.hdr.sgml : 20170113
20170113114635
ACCESSION NUMBER: 0001104659-17-002244
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170111
FILED AS OF DATE: 20170113
DATE AS OF CHANGE: 20170113
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: Schwartz Harold E
CENTRAL INDEX KEY: 0001527449
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13991
FILM NUMBER: 17526977
MAIL ADDRESS:
STREET 1: 350 PARK AVENUE, 20TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
4
1
a4.xml
4
X0306
4
2017-01-11
0
0001055160
MFA FINANCIAL, INC.
MFA
0001527449
Schwartz Harold E
C/O MFA FINANCIAL, INC.
350 PARK AVENUE, 20TH FLOOR
NEW YORK
NY
10022
0
1
0
0
Senior Vice President
Phantom Shares
2017-01-11
4
A
0
10000
0
A
Common Stock
10000
70000
D
Phantom Shares
2017-01-11
4
A
0
15000
0
A
Common Stock
15000
85000
D
Each phantom share represents the right to receive one share of MFA Financial, Inc. common stock.
These phantom shares are scheduled to vest, subject to forfeiture, on December 31, 2019, and thereafter will be settled in an equivalent number of shares of MFA common stock within 30 days following the vesting date.
These phantom shares are performance-based equity awards. The number of phantom shares reported represents the target number of phantom shares granted. The number of underlying shares of MFA common stock that the recipient becomes entitled to receive at the time of vesting will generally range from 0% to 200% of the target number of phantom shares granted, subject to the achievement of a pre-established performance metric. The vesting of these phantom shares will generally occur on December 31, 2019, based on MFA's absolute total stockholder return (TSR) and MFA's TSR as compared to the TSR of a designated peer group of companies, in each case for the three years then ended.
The number of phantom shares to vest will be adjusted to reflect the value of any dividends paid on MFA's common stock during the vesting period in respect of the number of phantom shares that ultimately vest. The phantom shares will be settled in an equivalent number of shares of MFA common stock within 30 days following the vesting date.
/s/ Harold E. Schwartz
2017-01-13