0001209191-19-018358.txt : 20190311 0001209191-19-018358.hdr.sgml : 20190311 20190311144219 ACCESSION NUMBER: 0001209191-19-018358 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190308 FILED AS OF DATE: 20190311 DATE AS OF CHANGE: 20190311 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kim Roy CENTRAL INDEX KEY: 0001654522 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08896 FILM NUMBER: 19671972 MAIL ADDRESS: STREET 1: 5929 GLENDORA AVE CITY: DALLAS STATE: TX ZIP: 75230 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-03-08 0 0000766701 CAPSTEAD MORTGAGE CORP CMO 0001654522 Kim Roy 8401 N CENTRAL EXPRESSWAY SUITE 800 DALLAS TX 75225 0 1 0 0 Senior Vice President Common Stock 2019-03-08 4 M 0 8928 A 122547 D Restricted Stock Units 2019-03-08 4 M 0 44420 D Common Stock 44420 124480 D On February 1, 2016, the reporting person was granted 44,420 performance units (the "Units") which are convertible into common stock of the Issuer after the conclusion of the performance period beginning January 1, 2016 and ending December 31, 2018, with the conversion factor determined formulaically based on individual achievement of stated performance metrics outlined in the Issuer's 2016 Long-Term Award criteria, and the conversion date determined by the Issuer's Compensation Committee. As a result, 8,928 Units were converted into the Issuer's common stock on March 8, 2019, and 35,492 Units expired without converting into any common stock. Roy S. Kim 2019-03-11