Katherine Beirne Fallon - 19 May 2021 Form 4 Insider Report for ANNALY CAPITAL MANAGEMENT INC (NLY)

Role
Director
Signature
/s/ Anthony C. Green, as Attorney-in-Fact for Katherine Beirne Fallon
Issuer symbol
NLY
Transactions as of
19 May 2021
Net transactions value
$0
Form type
4
Filing time
21 May 2021, 18:24:50 UTC
Next filing
19 Nov 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NLY Common Stock Options Exercise $0 +11,275 +48% $0.000000 34,709 20 May 2021 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction NLY Deferred Stock Units Award $0 +15,609 +51% $0.000000 45,956 19 May 2021 Common Stock 15,609 Direct F1
transaction NLY Deferred Stock Units Options Exercise $0 -11,275 -25% $0.000000 34,681 20 May 2021 Common Stock 11,275 Direct F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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 or the Annaly Capital Management, Inc. 2020 Equity Incentive Plan as applicable.
F2 Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions.