0000909143-13-000054.txt : 20131220 0000909143-13-000054.hdr.sgml : 20131220 20131220181310 ACCESSION NUMBER: 0000909143-13-000054 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: REINSCH PHILLIP A CENTRAL INDEX KEY: 0001227321 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08896 FILM NUMBER: 131292749 MAIL ADDRESS: STREET 1: 8401 N CENTRAL EXPRESSWAY STREET 2: 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 0001227321 REINSCH PHILLIP A 8401 N CENTRAL EXPRESSWAY STE 800 DALLAS TX 75225 0 1 0 0 EVP, CFO and Secretary Performance Units 2013-12-18 4 A 0 51054 0 A Common Stock 51054 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/ PHILLIP A. REINSCH 2013-12-19