SEGALAS DONNELL 4
4 · ANNALY CAPITAL MANAGEMENT INC · Filed Nov 13, 2017
Insider Transaction Report
Form 4
SEGALAS DONNELL
Director
Transactions
- Purchase
Common Stock
2017-11-10$11.34/sh+3,000$34,020→ 3,000 total(indirect: See note) - Purchase
Common Stock
2017-11-10$11.31/sh+450$5,092→ 450 total(indirect: See note) - Purchase
Common Stock
2017-11-10$11.32/sh+500$5,663→ 500 total - Purchase
Common Stock
2017-11-10$11.34/sh+8,800$99,792→ 102,450 total
Holdings
- 2,100(indirect: See note)
Common Stock
- 20,000
Option to purchase Common Stock
Exercise: $16.46Exp: 2018-05-08→ Common Stock (20,000 underlying) - 37,500
Option to purchase Common Stock
Exercise: $13.25Exp: 2019-04-22→ Common Stock (37,500 underlying) - 70,689
Deferred Stock Units
→ Common Stock (70,689 underlying)
Footnotes (7)
- [F1]Represents shares of Common Stock held by The Hercules Segalas Irrevocable Trust (the "Segalas Trust") for the benefit of an immediate family member of the reporting person. The reporting person is sole trustee of the Segalas Trust. The reporting person disclaims beneficial ownership of shares of Common Stock held by the Segalas Trust.
- [F2]Represents shares of Common Stock held by daughter. The reporting person disclaims beneficial ownership of these shares.
- [F3]Represents shares of Common Stock held jointly with daughter.
- [F4]Represents shares of Common Stock held by The Katherine Lacy Segalas Devlin Irrevocable Trust (the "Devlin Trust") for the benefit of an immediate family member of the reporting person. The reporting person is co-trustee of the Devlin Trust. The reporting person disclaims beneficial ownership of shares of Common Stock held by the Devlin Trust.
- [F5]Options previously granted. All options are currently vested.
- [F6]The Deferred Stock Units ("DSUs") convert to shares of Common Stock on a one-for-one basis one year after the date of grant unless the reporting person elects to defer the settlement of the DSUs until after a termination of service pursuant to the Annaly Capital Management, Inc. 2010 Equity Incentive Plan. The reporting person has elected such deferred settlement for all DSUs reported above.
- [F7]Reflects the aggregate amount of DSUs granted during the reporting person's tenure net of any conversions, including 12,523 DSUs acquired pursuant to dividend reinvestment for which no additional price was paid.