0001104659-22-002377.txt : 20220107
0001104659-22-002377.hdr.sgml : 20220107
20220107190049
ACCESSION NUMBER: 0001104659-22-002377
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211231
FILED AS OF DATE: 20220107
DATE AS OF CHANGE: 20220107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Lin Mei
CENTRAL INDEX KEY: 0001903408
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13991
FILM NUMBER: 22519299
MAIL ADDRESS:
STREET 1: C/O MFA FINANCIAL, INC.
STREET 2: ONE VANDERBILT AVENUE - 48TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
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
3
1
tm221651-9_3seq1.xml
OWNERSHIP DOCUMENT
X0206
3
2021-12-31
0
0001055160
MFA FINANCIAL, INC.
MFA
0001903408
Lin Mei
C/O MFA FINANCIAL, INC.
ONE VANDERBILT AVENUE - 48TH FLOOR
NEW YORK
NY
10017
0
1
0
0
Sr. VP & Co-Controller
Common Stock, par value $0.01 per share
2063
D
7.5% Series B Cumulative Redeemable Preferred Stock
0
D
6.5% Series C Fixed- to-Float Rate Cum Redeem Pfd Stk*
0
D
Common Stock, par value $0.01 per share
21100
I
By spouse
7.5% Series B Cumulative Redeemable Preferred Stock
0
I
N/A
6.5% Series C Fixed- to-Float Rate Cum Redeem Pfd Stk*
0
I
N/A
Phantom Shares
Common Stock
18639
D
Phantom Shares
Common Stock
6000
D
Phantom Shares
Common Stock
6000
D
Phantom Shares
Common Stock
20564
D
Of the amount reported, 4,000 phantom shares vested on December 31, 2021; 4,000 phantom shares are scheduled to vest, subject to forfeiture, on December 31, 2022; and 10,639 phantom shares are scheduled to vest, subject to forfeiture, on December 31, 2023. Phantom shares will be settled in an equivalent number of shares of MFA common stock within 30 days following the vesting date.
Each phantom share represents the right to receive one share of MFA Financial, Inc. common stock.
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. These phantom shares were granted on February 1, 2019, and their vesting is 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 ended December 31, 2021. The number of phantom shares to vest will be determined in January 2022.
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.
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. These phantom shares were granted on February 10, 2020, and their vesting will generally occur on December 31, 2022, 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.
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. These phantom shares were granted on January 4, 2021, and their vesting 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.
*6.5% Series C Fixed- to-Floating Rate Cumulative Redeemable Preferred Stock
/s/ Mei Lin
2022-01-07