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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Phantom Shares | (1) | 07/01/2013 | A | 12,500 | (2) | (2) | Common Stock | 12,500 | $ 0 | 259,751 | D | ||||
Phantom Shares | (1) | 07/01/2013 | A | 25,000 | (3) | (3) | Common Stock | 25,000 | $ 0 | 284,751 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GORIN WILLIAM S C/O MFA FINANCIAL, INC. 350 PARK AVENUE, 20TH FLOOR NEW YORK,, NY 10022 |
X | President |
/s/ William S. Gorin | 07/03/2013 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Each phantom share represents the right to receive one share of MFA Financial, Inc. common stock. |
(2) | One-third of these phantom shares are scheduled to vest, subject to forfeiture, on each of June 30, 2014, 2015 and 2016, and thereafter will be settled in an equivalent number of shares of MFA common stock within 30 days of each respective vesting date. |
(3) | One-third of these phantom shares are scheduled to vest, subject to forfeiture, on each of June 30, 2014, 2015 and 2016 (subject, in each case, to MFA's achievement of specified performance goals), and thereafter will be settled in an equivalent number of shares of MFA common stock within 30 days of each respective vesting date. |
(4) | The reported disposition represents the surrender of shares to satisfy tax obligations arising from the vesting of one or more previously granted restricted stock awards. |