Form Type: 4

SEC EDGAR Link
Accession Number:0001628280-19-014551
Date:2019-11-25
Issuer: ANNALY CAPITAL MANAGEMENT INC (NLY)
Original Submission Date:

Reporting Person:

SCHAEFER JOHN H
C/O ANNALY CAPITAL MANAGEMENT, INC.
1211 AVENUE OF THE AMERICAS NEW YORK, NY 10036

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-11-25 P 10,000 a $9.21 87,494 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
DEFERRED STOCK UNITS 0.0 deemed execution date 0 ( ) common stock 68,794 $0.00 68,794 direct
Footnotes
IDfootnote
f1 the price reported above reflects the weighted average purchase price, rounded to the nearest hundredth. the highest price at which the shares were purchased was $9.21 and the lowest price at which the shares were purchased was $9.20. the reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote in this form 4.
f2 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 director 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 the dsus reported above.
f3 reflects the aggregate amount of dsus granted during the tenure of the respective director net of any conversions, including 18,365 dsus acquired pursuant to dividend reinvestment for which no additional price was paid.
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