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