0001209191-19-018361.txt : 20190311 0001209191-19-018361.hdr.sgml : 20190311 20190311144453 ACCESSION NUMBER: 0001209191-19-018361 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: SPEARS ROBERT R JR CENTRAL INDEX KEY: 0001227826 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08896 FILM NUMBER: 19671978 MAIL ADDRESS: STREET 1: 8401 N CENTRAL EXPRESSWAY STE 800 CITY: DALLAS STATE: TX ZIP: 75225 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 0001227826 SPEARS ROBERT R JR 8401 N CENTRAL EXPRESSWAY SUITE 800 DALLAS TX 75225 0 1 0 0 EVP & CIO Common Stock 2019-03-08 4 M 0 14001 A 528363 D Restricted Stock Units 2019-03-08 4 M 0 69656 D Common Stock 69656 184593 D On February 1, 2016, the reporting person was granted 69,656 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, 14,001 Units were converted into the Issuer's common stock on March 8, 2019, and 55,655 Units expired without converting into any common stock. Robert Spears 2019-03-11