0000845877-18-000128.txt : 20180529 0000845877-18-000128.hdr.sgml : 20180529 20180529172756 ACCESSION NUMBER: 0000845877-18-000128 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180524 FILED AS OF DATE: 20180529 DATE AS OF CHANGE: 20180529 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Grote Charles D CENTRAL INDEX KEY: 0001739712 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14951 FILM NUMBER: 18865668 MAIL ADDRESS: STREET 1: C/O FARMER MAC, 1999 K STREET NW STREET 2: FOURTH FL CITY: WASHINGTON STATE: DC ZIP: 20006 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: FEDERAL AGRICULTURAL MORTGAGE CORP CENTRAL INDEX KEY: 0000845877 STANDARD INDUSTRIAL CLASSIFICATION: FEDERAL & FEDERALLY-SPONSORED CREDIT AGENCIES [6111] IRS NUMBER: 521578738 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1999 K STREET NW, STREET 2: 4TH FLOOR CITY: WASHINGTON STATE: DC ZIP: 20006 BUSINESS PHONE: 2028727700 MAIL ADDRESS: STREET 1: 1999 K STREET NW, STREET 2: 4TH FLOOR CITY: WASHINGTON STATE: DC ZIP: 20006 4 1 wf-form4_152762926346739.xml FORM 4 X0306 4 2018-05-24 0 0000845877 FEDERAL AGRICULTURAL MORTGAGE CORP AGM 0001739712 Grote Charles D C/O FARMER MAC, 1999 K STREET NW FOURTH FLOOR WASHINGTON DC 20006 0 1 0 0 SVP Finance and Investor Rel Class C Non-Voting Common Stock 2018-05-24 4 M 0 1667 32.39 A 7043.39 D Class C Non-Voting Common Stock 2018-05-29 4 F 0 490 92.68 D 6553.39 D Class C Non-Voting Common Stock 2018-05-29 4 D 0 582 92.68 D 5971.39 D Stock Appreciation Right 32.39 2018-05-24 4 M 0 1667 32.39 D 2018-03-31 2025-04-01 Class C Non-Voting Common Stock 1667.0 0 D Transaction effected during an open trading window for employees and directors of the Federal Agricultural Mortgage Corporation ("Farmer Mac"). In connection with the net share settlement of the exercise of 1,667 vested stock appreciation rights ("SARs") granted in April 2015 with a grant price of $32.39 per share, Mr. Grote was entitled to receive 1,085 shares of Farmer Mac Class C Non-Voting Common Stock. None of these shares were sold, as Mr. Grote retained 595 shares, and Farmer Mac retained 490 shares to satisfy tax withholding requirements arising from the exercise. The 582 shares reported as a disposition to the issuer of issuer equity securities represents the difference between the number of SARs exercised and the number of shares issuable as a result of the exercise. Each SAR represents the right to receive, upon exercise, the number of shares of Farmer Mac's Class C Non-Voting Common Stock equal to the excess of the fair market value of shares on the exercise date over the grant price. Includes 3,635 shares of unvested restricted stock previously granted pursuant to Farmer Mac's Amended and Restated 2008 Omnibus Incentive Plan. The grants of restricted stock have been described in detail in Farmer Mac's prior filings with the Securities and Exchange Commission. Exercisable beginning March 31, 2016 with respect to 1,666 shares, beginning March 31, 2017 with respect to 1,667 shares, and beginning March 31, 2018 with respect to 1,667 shares. Anjali Desai, as attorney-in-fact for Charles D. Grote 2018-05-29