0001209191-20-001583.txt : 20200106
0001209191-20-001583.hdr.sgml : 20200106
20200106133549
ACCESSION NUMBER: 0001209191-20-001583
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200102
FILED AS OF DATE: 20200106
DATE AS OF CHANGE: 20200106
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: 20509019
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
2020-01-02
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
2020-01-02
4
A
0
41030
7.86
A
163577
D
Performance Units
2020-01-02
4
A
0
41030
A
Common Stock
41030
165510
D
Represents a portion of the executive's 2020 long-term incentive compensation. The unvested stock awards, granted from the Amended and Restated 2014 Flexible Incentive Plan, vest 100% at the end of year three. Dividends associated with these shares will only be paid upon vesting of the awards.
Represents a portion of the executive's 2020 long-term incentive compensation. The performance units ("Units") are convertible into common stock of the Issuer after December 31, 2022 and before March 15, 2023, 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 2020 Long-Term Award criteria. The Units could expire without converting into 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 provided maximum thresholds are achieved for all performance objectives. The Units will terminate on December 31, 2022 if minimum performance criteria are not achieved for any of the performance objectives.
/s/ Roy Kim
2020-01-06