0001209191-21-015220.txt : 20210301
0001209191-21-015220.hdr.sgml : 20210301
20210301162513
ACCESSION NUMBER: 0001209191-21-015220
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210225
FILED AS OF DATE: 20210301
DATE AS OF CHANGE: 20210301
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: 21698166
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
2021-02-25
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
2021-02-25
4
M
0
24425
A
681544
D
Common Stock
2021-02-25
4
D
0
5947
D
675597
D
Restricted Stock Units
2021-02-25
4
M
0
62790
D
Common Stock
62790
202905
D
On January 3, 2018, the reporting person was granted 62,790 performance units (the "Units") which were convertible into common stock of the Issuer after
the conclusion of the performance period beginning January 1, 2018 and ending December 31, 2020, with the conversion factor determined formulaically
based on individual achievement of stated performance metrics outlined in the Issuer's 2018 Long-Term Award criteria, and the conversion date determined
by the Issuer's Compensation Committee. As a result, 24,425 Units were converted into the Issuer's common stock on February 25, 2021, and 38,365 Units
expired without converting into any common stock.
Represents shares of common stock forfeited to satisfy the Reporting Person's tax withholding obligation upon the vesting of common stock on February 25, 2021.
Robert Spears
2021-03-01