# EDGAR Filing Document

**Accession Number:** 0001043219
**File Stem:** 0001628280-23-002109
**Filing Date:** 2023-2
**Character Count:** 7419
**Document Hash:** a6ad42e7eb59c59874204329beeebc44
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001628280-23-002109.hdr.sgml**: 20230202

**ACCESSION NUMBER**: 0001628280-23-002109

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230131

**FILED AS OF DATE**: 20230202

**DATE AS OF CHANGE**: 20230202

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Campbell Steven Francis
- **CENTRAL INDEX KEY:** 0001631803

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-13447
- **FILM NUMBER:** 23582666

**MAIL ADDRESS:**
- **STREET 1:** C/O ANNALY CAPITAL MANAGEMENT, INC.
- **STREET 2:** 1211 AVENUE OF THE AMERICAS
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10036
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ANNALY CAPITAL MANAGEMENT INC
- **CENTRAL INDEX KEY:** 0001043219
- **STANDARD INDUSTRIAL CLASSIFICATION:** REAL ESTATE INVESTMENT TRUSTS [6798]
- **IRS NUMBER:** 223479661
- **STATE OF INCORPORATION:** MD
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 1211 AVENUE OF THE AMERICAS
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10036
- **BUSINESS PHONE:** 212 696 0100

**MAIL ADDRESS:**
- **STREET 1:** 1211 AVENUE OF THE AMERICAS
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10036

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ANNALY MORTGAGE MANAGEMENT INC
- **DATE OF NAME CHANGE:** 19970729

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] 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**<sup>*</sup><br>Campbell Steven Francis<br><sub>(Last) (First) (Middle)</sub><br>C/O ANNALY CAPITAL MANAGEMENT, INC.<br>1211 AVENUE OF THE AMERICAS<br><sub>(Street)</sub><br>NEW YORK, NY 10036<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-01-31 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_President and COO_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>ANNALY CAPITAL MANAGEMENT INC [ NLY ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-01-31 |  | M |  | 389<sup>(1)</sup> | A | $0 | 53301 | D |  |
| Common Stock | 2023-01-31 |  | F |  | 632<sup>(2)</sup> | D | $24 | 52669 | D |  |
| Common Stock | 2023-02-01 |  | M |  | 1520<sup>(1)</sup> | A | $0 | 54189 | D |  |
| Common Stock | 2023-02-01 |  | F |  | 5628<sup>(3)</sup> | D | $24 | 48561 | D |  |
| Common Stock | 2023-01-31 |  | A |  | 38098<sup>(4)</sup> | A | $0 | 86659 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) Represents the settlement of dividend equivalent rights in connection with vesting of previously issued and reported restricted stock units. The dividend equivalent rights accrued when and as dividends were paid on Annaly Capital Management, Inc.'s common stock and vested proportionately with the underlying restricted stock units in respect of which they were credited. The dividend equivalent rights convert to Annaly Capital Management, Inc.'s common stock on a one-for-one basis

(2) Represents shares surrendered to the issuer to satisfy a tax withholding obligation in connection with the vesting on January 31, 2023 of a restricted stock award previously granted on January 31, 2020.

(3) Represents shares surrendered to the issuer to satisfy a tax withholding obligation in connection with the vesting on February 1, 2023 of a restricted stock award previously granted on February 1, 2022.

(4) Represents restricted stock units granted pursuant to the Annaly Capital Management, Inc. 2020 Equity Incentive Plan.  Each restricted stock unit represents a contingent right to receive one share of common stock of Annaly Capital Management, Inc., par value $0.01 per share. The restricted stock units vest ratably over three years beginning on the one-year anniversary of the grant date (subject to accelerated vesting under certain circumstances).

**Signature:** /s/ Anthony C. Green, as Attorney-in-Fact for Steven Francis Campbell  
**Date:** 2023-02-02

### Remarks:

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.**