0000909143-13-000053.txt : 20131220
0000909143-13-000053.hdr.sgml : 20131220
20131220180817
ACCESSION NUMBER: 0000909143-13-000053
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20131218
FILED AS OF DATE: 20131220
DATE AS OF CHANGE: 20131220
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: CAPSTEAD MORTGAGE CORP
CENTRAL INDEX KEY: 0000766701
STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798]
IRS NUMBER: 752027937
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 8401 NORTH CENTRAL EXPRESSWAY
STREET 2: STE 800
CITY: DALLAS
STATE: TX
ZIP: 75225
BUSINESS PHONE: 2148742323
MAIL ADDRESS:
STREET 1: 8401 NORTH CENTRAL EXPRESSWAY
STREET 2: STE 800
CITY: DALLAS
STATE: TX
ZIP: 75225
FORMER COMPANY:
FORMER CONFORMED NAME: LOMAS MORTGAGE CORP
DATE OF NAME CHANGE: 19891105
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: JACOBS ANDREW F
CENTRAL INDEX KEY: 0001227824
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-08896
FILM NUMBER: 131292737
MAIL ADDRESS:
STREET 1: 8401 N CENTRAL EXPRESSWAY STE 800
CITY: DALLAS
STATE: TX
ZIP: 75225
4
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4
2013-12-18
0
0000766701
CAPSTEAD MORTGAGE CORP
CMO
0001227824
JACOBS ANDREW F
8401 N CENTRAL EXPRESSWAY STE 800
DALLAS
TX
75225
1
1
0
0
President and CEO
Performance Units
2013-12-18
4
A
0
91167
0
A
Common Stock
91167
D
Performance Units ("Units") issued by the Issuer to the Reporting Person. Such Units are convertible into common stock of the Issuer after December 31, 2016 and before March 15, 2017, with the conversion factor determined formulaically, based on achievement of stated performance criteria. The Units target a one-for-one conversion ratio into the common stock of the Issuer; however, the actual conversion ratio will be dependent on the achievement of the performance objectives outlined in the Issuer's 2014 Long-Term Award Criteria. The Units could expire without converting any shares of common stock of the Issuer or could be convertible into as many as 200% of the number of Units granted to the Reporting Person. The Units will terminate on December 31, 2016 if the minimum performance criteria are not achieved.
/s/ ANDREW F. JACOBS
2013-12-19