Amended Statement of Changes in Beneficial Ownership (4/a)
11 Febbraio 2021 - 11:12PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Ertas Ilker |
2. Issuer Name and Ticker or Trading Symbol
ANNALY CAPITAL MANAGEMENT INC
[
NLY
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Head of Securitized Products |
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(Last)
(First)
(Middle)
C/O ANNALY CAPITAL MANAGEMENT, INC., 1211 6TH AVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/31/2021 |
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(Street)
NEW YORK, NY 10036
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
2/2/2021 |
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 1/31/2021 | | F | | 1889 (1) | D | $8.12 | 201142 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Explanation of Responses: |
| (1) | Represents shares surrendered to the issuer to satisfy a tax withholding obligation in connection with the vesting on January 31, 2021 of a restricted stock award previously granted on January 31, 2020. The original Form 4, filed with the SEC on behalf of the reporting person on February 2, 2021, erroneously overstated the number of shares surrendered to the issuer by the reporting person to satisfy tax withholding obligations in connection with the vesting of a previously granted restricted stock award. This amendment to the original Form 4 corrects this inadvertent error and reflects the corrected amount of securities beneficially owned following each reported transaction. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Ertas Ilker
C/O ANNALY CAPITAL MANAGEMENT, INC.
1211 6TH AVE
NEW YORK, NY 10036 |
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| Head of Securitized Products |
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Signatures
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| /s/ Anthony C. Green, as Attorney-in-Fact for Ilker Ertas | | 2/11/2021 |
| **Signature of Reporting Person | Date |
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