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Annaly Capital (NYSE: NLY) director receives 8,641 deferred stock units grant

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Annaly Capital Management director Kathy Hopinkah Hannan received a grant of 8,641 Deferred Stock Units (DSUs) on Common Stock-equivalent terms. The DSUs convert to Common Stock on a one-for-one basis one year after the grant date, unless settlement is deferred under the company’s 2020 Equity Incentive Plan.

The reporting person has elected to defer settlement of all DSUs until after a termination of service. Following this grant, she holds 44,348 DSUs and 9,535 shares of Common Stock directly, reflecting routine equity-based director compensation rather than an open-market share purchase or sale.

Positive

  • None.

Negative

  • None.
Insider Hannan Kathy Hopinkah
Role null
Type Security Shares Price Value
Grant/Award Deferred Stock Units 8,641 $0.00 --
holding Common Stock -- -- --
Holdings After Transaction: Deferred Stock Units — 44,348 shares (Direct, null); Common Stock — 9,535 shares (Direct, null)
Footnotes (1)
  1. 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. 2020 Equity Incentive Plan. The reporting person has elected such deferred settlement for all DSUs reported above. Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions.
DSU grant 8,641 units Deferred Stock Units granted on Common Stock basis
Total DSUs after grant 44,348 units Aggregate DSUs held after June 10, 2026
Common Stock held 9,535 shares Direct Common Stock ownership after reported transactions
DSU conversion ratio 1:1 to Common Stock Each DSU converts into one share of Common Stock
Deferred Stock Units financial
"The Deferred Stock Units ("DSUs") convert to shares of Common Stock on a one-for-one basis"
Deferred stock units are promises from a company to give an employee shares of stock at a future date, often after certain conditions are met or after leaving the company. They function like a form of delayed compensation, allowing employees to earn shares over time. For investors, they represent potential future ownership in the company, but do not provide immediate voting rights or dividends until the shares are actually received.
Annaly Capital Management, Inc. 2020 Equity Incentive Plan financial
"pursuant to the Annaly Capital Management, Inc. 2020 Equity Incentive Plan"
termination of service financial
"until after a termination of service pursuant to the Annaly Capital Management, Inc. 2020 Equity Incentive Plan"
settlement of the DSUs financial
"the director elects to defer the settlement of the DSUs until after a termination of service"
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Hannan Kathy Hopinkah
(Last)(First)(Middle)
C/O ANNALY CAPITAL MANAGEMENT, INC.
1211 AVENUE OF THE AMERICAS
(Street)
NEW YORK NEW YORK 10036
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
ANNALY CAPITAL MANAGEMENT INC [ NLY ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
06/10/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock9,535D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction 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 (Month/Day/Year)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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Deferred Stock Units(1)06/10/2026A8,641 (1) (1)Common Stock8,641$044,348(2)D
Explanation of Responses:
1. 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. 2020 Equity Incentive Plan. The reporting person has elected such deferred settlement for all DSUs reported above.
2. Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions.
Remarks:
/s/ Audrey K. Susanin, as Attorney-in-Fact for Kathy Hopinkah Hannan06/12/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What did Annaly Capital Management (NLY) disclose about Kathy Hopinkah Hannan in this Form 4?

Annaly Capital Management reported that director Kathy Hopinkah Hannan received 8,641 Deferred Stock Units (DSUs). These DSUs are equity-based compensation tied to Common Stock and increase her deferred equity stake without involving an open-market share purchase or sale.

How many Deferred Stock Units does Kathy Hopinkah Hannan hold in Annaly Capital Management (NLY) after this filing?

After this grant, Kathy Hopinkah Hannan holds 44,348 Deferred Stock Units in Annaly Capital Management. This figure reflects the aggregate DSUs granted during her tenure as a director, net of any conversions previously made into shares of Common Stock.

How do the Deferred Stock Units for Annaly Capital Management (NLY) directors convert into Common Stock?

Each Deferred Stock Unit converts into one share of Annaly Capital Management Common Stock. Conversion typically occurs one year after the grant date, unless the director elects to defer settlement under the company’s 2020 Equity Incentive Plan rules governing DSU settlement timing.

What settlement election did Kathy Hopinkah Hannan make for her Annaly (NLY) Deferred Stock Units?

Kathy Hopinkah Hannan elected to defer settlement of all her Deferred Stock Units until after a termination of service. This means DSUs will not convert into Common Stock on the standard one-year schedule but will wait until her board service ends.

How many Annaly Capital Management (NLY) Common Stock shares does Kathy Hopinkah Hannan directly own after this Form 4?

Following the reported transactions, Kathy Hopinkah Hannan directly owns 9,535 shares of Annaly Capital Management Common Stock. This direct holding is separate from her 44,348 Deferred Stock Units, which represent additional equity that will settle into shares later.

Is the Annaly Capital Management (NLY) Form 4 for Kathy Hopinkah Hannan a market purchase or sale?

The Form 4 shows an award of 8,641 Deferred Stock Units, not an open-market transaction. These DSUs are compensation granted at no cash price per unit and will convert into Common Stock according to the plan’s deferred settlement rules.