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