0001104659-21-001715.txt : 20210106 0001104659-21-001715.hdr.sgml : 20210106 20210106210220 ACCESSION NUMBER: 0001104659-21-001715 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210104 FILED AS OF DATE: 20210106 DATE AS OF CHANGE: 20210106 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: 21512708 MAIL ADDRESS: STREET 1: 350 PARK AVENUE, 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 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 4 1 tm211910d4_4.xml OWNERSHIP DOCUMENT X0306 4 2021-01-04 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 2021-01-04 4 A 0 39894 0 A Common Stock 39894 149894 D Phantom Shares 2021-01-04 4 A 0 77113 0 A Common Stock 77113 227007 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, 2023, 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, 2023, 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 2021-01-06