NLY

SEC source: 0001628280-20-007570 · wf-form4_158931533414079.xml · nonDerivative · entry 1

Coffey Timothy P · CIK 0001688842 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,000

SEC source: 0001628280-20-006294 · wf-form4_158862976680462.xml · nonDerivative · entry 1

Wolfe Serena · CIK 0001796495 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · price: The price reported above reflects the weighted average purchase price of $5.986891, rounded to the nearest hundredth. The highest price at which the shares were purchased was $5.99 and the lowest price at which the shares were purchased was $5.98. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote in this Form 4.

SEC source: 0001628280-20-006293 · wf-form4_158862974413261.xml · nonDerivative · entry 1

Finkelstein David L · CIK 0001688537 · Director · CEO and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

F1 · price: The price reported above reflects the weighted average purchase price of $6.025551, rounded to the nearest hundredth. The highest price at which the shares were purchased was $6.06 and the lowest price at which the shares were purchased was $6.015. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote in this Form 4.

SEC source: 0000899243-20-004291 · doc4.xml · nonDerivative · entry 1

VOTEK GLENN · CIK 0001584807 · Director · Interim CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 216,811.3866

F1 · security: Includes shares of common stock represented by restricted stocks units. 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 were issued pursuant to an equity award and shall vest on the date that a permanent (non-interim) Chief Executive Officer is appointed by the Board of Directors of Annaly Capital Management, Inc.

F2 · balance_after: Includes shares acquired through dividend reinvestments.

SEC source: 0001628280-19-014551 · wf-form4_157480596678637.xml · nonDerivative · entry 1

Schaefer John H · CIK 0001188749 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,494

F1 · price: The price reported above reflects the weighted average purchase price, rounded to the nearest hundredth. The highest price at which the shares were purchased was $9.21 and the lowest price at which the shares were purchased was $9.20. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote in this Form 4.

SEC source: 0001628280-19-007851 · wf-form4_156019766063122.xml · nonDerivative · entry 1

Fallon Katherine Beirne · CIK 0001721214 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,638

F1 · ownership.direct: Represents shares of Common Stock held jointly with spouse.

SEC source: 0001628280-19-007454 · wf-form4_155933375490008.xml · nonDerivative · entry 2

Finkelstein David L · CIK 0001688537 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: As set forth in the notice of redemption dated May 1, 2019, the issuer redeemed all outstanding shares of its 8.125% Series H Cumulative Redeemable Preferred Stock (the "Series H Preferred Stock") on May 31, 2019. All holders of shares of Series H Preferred Stock, including the reporting person, were required to have such shares redeemed on May 31, 2019. The redemption amount was equal to $25.00 per share of Series H Preferred Stock plus accumulated and unpaid dividends to, but not including, the redemption date.

SEC source: 0001628280-19-007200 · wf-form4_155872175060163.xml · derivative · entry 3

DENAHAN WELLINGTON · CIK 0001235657 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,592

Underlying: Common Stock · 12,858 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F2 · balance_after: Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions.

SEC source: 0001628280-19-007200 · wf-form4_155872175060163.xml · nonDerivative · entry 1

DENAHAN WELLINGTON · CIK 0001235657 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,811,272

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001628280-19-007194 · wf-form4_155872154517889.xml · derivative · entry 3

Fallon Katherine Beirne · CIK 0001721214 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,592

Underlying: Common Stock · 12,858 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F2 · balance_after: Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions.

SEC source: 0001628280-19-007194 · wf-form4_155872154517889.xml · nonDerivative · entry 1

Fallon Katherine Beirne · CIK 0001721214 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,858

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001628280-19-007201 · wf-form4_155872178441557.xml · derivative · entry 2

SCHAEFER JOHN H · CIK 0001188749 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,029

Underlying: Common Stock · 15,592 shares

Expires not disclosed

F1 · derivative.exercise_price: 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. The reporting person has elected such deferred settlement for all DSUs reported above.

F1 · derivative.exercise_date: 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. The reporting person has elected such deferred settlement for all DSUs reported above.

F1 · derivative.expiration_date: 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. The reporting person has elected such deferred settlement for all DSUs reported above.

F2 · balance_after: Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions, including 15,600 DSUs acquired pursuant to dividend reinvestment for which no additional price was paid.

SEC source: 0001628280-19-007200 · wf-form4_155872175060163.xml · derivative · entry 2

DENAHAN WELLINGTON · CIK 0001235657 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,450

Underlying: Common Stock · 15,592 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0001628280-19-007199 · wf-form4_155872172059399.xml · derivative · entry 2

GREEN JONATHAN D · CIK 0001235658 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,275

Underlying: Common Stock · 15,592 shares

Expires not disclosed

F1 · derivative.exercise_price: 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. The reporting person has elected such deferred settlement for all DSUs reported above.

F1 · derivative.exercise_date: 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. The reporting person has elected such deferred settlement for all DSUs reported above.

F1 · derivative.expiration_date: 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. The reporting person has elected such deferred settlement for all DSUs reported above.

F2 · balance_after: Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions, including 34,659 DSUs acquired pursuant to dividend reinvestment for which no additional price was paid.

SEC source: 0001628280-19-007198 · wf-form4_155872168158445.xml · derivative · entry 8

SEGALAS DONNELL · CIK 0001259017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,216

Underlying: Common Stock · 15,592 shares

Expires not disclosed

F5 · derivative.exercise_price: 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. The reporting person has elected such deferred settlement for all DSUs reported above.

F5 · derivative.exercise_date: 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. The reporting person has elected such deferred settlement for all DSUs reported above.

F5 · derivative.expiration_date: 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. The reporting person has elected such deferred settlement for all DSUs reported above.

F6 · balance_after: Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions, including 25,600 DSUs acquired pursuant to dividend reinvestment for which no additional price was paid.

SEC source: 0001628280-19-007197 · wf-form4_155872164840684.xml · derivative · entry 2

Hannan Kathy Hopinkah · CIK 0001767813 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,592

Underlying: Common Stock · 15,592 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0001628280-19-007196 · wf-form4_155872161401273.xml · derivative · entry 2

Bovich Francine J. · CIK 0001534336 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,854

Underlying: Common Stock · 15,592 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.The reporting person has elected such deferred settlement for all DSUs reported above.

F1 · derivative.exercise_date: 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.The reporting person has elected such deferred settlement for all DSUs reported above.

F1 · derivative.expiration_date: 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.The reporting person has elected such deferred settlement for all DSUs reported above.

F2 · balance_after: Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions, including 25,600 DSUs acquired pursuant to dividend reinvestment for which no additional price was paid.

SEC source: 0001628280-19-007195 · wf-form4_155872157909293.xml · derivative · entry 2

HAYLON MICHAEL E · CIK 0001222407 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,275

Underlying: Common Stock · 15,592 shares

Expires not disclosed

F1 · derivative.exercise_price: 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. The reporting person has elected such deferred settlement for all DSUs reported above.

F1 · derivative.exercise_date: 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. The reporting person has elected such deferred settlement for all DSUs reported above.

F1 · derivative.expiration_date: 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. The reporting person has elected such deferred settlement for all DSUs reported above.

F2 · balance_after: Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions, including 34,659 DSUs acquired pursuant to dividend reinvestment for which no additional price was paid.

SEC source: 0001628280-19-007194 · wf-form4_155872154517889.xml · derivative · entry 2

Fallon Katherine Beirne · CIK 0001721214 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,450

Underlying: Common Stock · 15,592 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0001628280-19-007193 · wf-form4_155872151122430.xml · derivative · entry 4

Hamilton Thomas Edward · CIK 0001769848 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,592

Underlying: Common Stock · 15,592 shares

Expires not disclosed

F1 · derivative.exercise_price: 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. The reporting person has elected such deferred settlement for all DSUs reported above.

F1 · derivative.exercise_date: 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. The reporting person has elected such deferred settlement for all DSUs reported above.

F1 · derivative.expiration_date: 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. The reporting person has elected such deferred settlement for all DSUs reported above.

SEC source: 0001628280-19-007192 · wf-form4_155872148193412.xml · derivative · entry 2

Williams Vicki · CIK 0001721212 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,450

Underlying: Common Stock · 15,592 shares

Expires not disclosed

F1 · derivative.exercise_price: 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. The reporting person has elected such deferred settlement for all DSUs reported above.

F1 · derivative.exercise_date: 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. The reporting person has elected such deferred settlement for all DSUs reported above.

F1 · derivative.expiration_date: 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. The reporting person has elected such deferred settlement for all DSUs reported above.

F2 · balance_after: Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions.

SEC source: 0001628280-19-007010 · wf-form4_155835047039247.xml · nonDerivative · entry 3

Hamilton Thomas Edward · CIK 0001769848 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · 2012 Hamilton Family Trust

Disclosed balance after: 80,000

SEC source: 0001628280-19-007010 · wf-form4_155835047039247.xml · nonDerivative · entry 2

Hamilton Thomas Edward · CIK 0001769848 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Cure FA Foundation, Inc.

Disclosed balance after: 130,000

SEC source: 0001628280-19-007010 · wf-form4_155835047039247.xml · nonDerivative · entry 1

Hamilton Thomas Edward · CIK 0001769848 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,000

F1 · price: The price reported above reflects the weighted average purchase price. The highest price at which the shares were purchased was $9.470 and the lowest price at which the shares were purchased was $9.465. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote in this Form 4.

SEC source: 0001628280-19-006792 · wf-form4_155791733505466.xml · nonDerivative · entry 1

Green Anthony C · CIK 0001694411 · Chief Corporate Officer, CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,000

SEC source: 0001628280-19-006695 · wf-form4_155783051675746.xml · nonDerivative · entry 1

Finkelstein David L · CIK 0001688537 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

F1 · price: The price reported above reflects the weighted average purchase price, rounded to the nearest hundredth. The highest price at which the shares were purchased was $9.560 and the lowest price at which the shares were purchased was $9.555. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote in this Form 4.

SEC source: 0001157523-19-001115 · form4.xml · nonDerivative · entry 1

KEYES KEVIN · CIK 0001508136 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,284,779

F1 · price: The price reported above reflects the weighted average purchase price. The highest price at which the shares were purchased was $9.625 and the lowest price at which the shares were purchased was $9.620. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote in this Form 4.

SEC source: 0001628280-19-000416 · wf-form5_154785252739493.xml · nonDerivative · entry 2

Finkelstein David L · CIK 0001688537 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,525

F1 · kind: As previously disclosed, in connection with the acquisition by the issuer of MTGE Investment Corp., each of 5,525 outstanding shares of MTGE Investment Corp. Series A preferred stock previously held by Mr. Finkelstein automatically converted into the right to receive one newly issued share of Annaly Capital Management, Inc. Series H preferred stock.

F1 · price: As previously disclosed, in connection with the acquisition by the issuer of MTGE Investment Corp., each of 5,525 outstanding shares of MTGE Investment Corp. Series A preferred stock previously held by Mr. Finkelstein automatically converted into the right to receive one newly issued share of Annaly Capital Management, Inc. Series H preferred stock.

SEC source: 0001628280-18-007221 · wf-form4_152727956543701.xml · derivative · entry 3

SCHAEFER JOHN H · CIK 0001188749 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,946

Underlying: Common Stock · 11,451 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F2 · balance_after: Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions, including 10,109 DSUs acquired pursuant to a dividend reinvestment for which no additional price was paid.

SEC source: 0001628280-18-007221 · wf-form4_152727956543701.xml · nonDerivative · entry 1

SCHAEFER JOHN H · CIK 0001188749 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,494

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001628280-18-007230 · wf-form4_152727996214300.xml · derivative · entry 8

BRADY KEVIN · CIK 0001239239 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,121

Underlying: Common Stock · 12,858 shares

Expires not disclosed

F4 · derivative.exercise_price: 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.

F4 · derivative.exercise_date: 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.

F4 · derivative.expiration_date: 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.

F5 · balance_after: Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions, including 16,097 DSUs acquired pursuant to dividend reinvestments for which no additional price was paid.

SEC source: 0001628280-18-007229 · wf-form4_152727994466764.xml · derivative · entry 6

NORDBERG E WAYNE · CIK 0001111624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,175

Underlying: Common Stock · 12,858 shares

Expires not disclosed

F2 · derivative.exercise_price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

F3 · balance_after: Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions, including 23,151 DSUs acquired pursuant to dividend reinvestments for which no additional price was paid.

SEC source: 0001628280-18-007228 · wf-form4_152727992705971.xml · derivative · entry 2

Bovich Francine J. · CIK 0001534336 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,759

Underlying: Common Stock · 12,858 shares

Expires not disclosed

F1 · derivative.exercise_price: 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. The reporting person has elected such deferred settlement for all DSUs reported above.

F1 · derivative.exercise_date: 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. The reporting person has elected such deferred settlement for all DSUs reported above.

F1 · derivative.expiration_date: 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. The reporting person has elected such deferred settlement for all DSUs reported above.

F2 · balance_after: Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions, including 16,097 DSUs acquired pursuant to dividend reinvestments for which no additional price was paid.

SEC source: 0001628280-18-007227 · wf-form4_152727990810144.xml · derivative · entry 4

GREEN JONATHAN D · CIK 0001235658 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,175

Underlying: Common Stock · 12,858 shares

Expires not disclosed

F2 · derivative.exercise_price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

F3 · balance_after: Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions, including 23,151 DSUs acquired pursuant to dividend reinvestments for which no additional price was paid.

SEC source: 0001628280-18-007225 · wf-form4_152727984149933.xml · derivative · entry 5

HAYLON MICHAEL E · CIK 0001222407 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,175

Underlying: Common Stock · 12,858 shares

Expires not disclosed

F2 · derivative.exercise_price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

F3 · balance_after: Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions, including 23,151 DSUs acquired pursuant to dividend reinvestments for which no additional price was paid.

SEC source: 0001628280-18-007224 · wf-form4_152727981965994.xml · derivative · entry 10

SEGALAS DONNELL · CIK 0001259017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,121

Underlying: Common Stock · 12,858 shares

Expires not disclosed

F6 · derivative.exercise_price: 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 reporting person 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. The reporting person has elected such deferred settlement for all DSUs reported above.

F6 · derivative.exercise_date: 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 reporting person 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. The reporting person has elected such deferred settlement for all DSUs reported above.

F6 · derivative.expiration_date: 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 reporting person 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. The reporting person has elected such deferred settlement for all DSUs reported above.

F7 · balance_after: Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions, including 16,097 DSUs acquired pursuant to dividend reinvestments for which no additional price was paid.

SEC source: 0001628280-18-007222 · wf-form4_152727963202091.xml · derivative · entry 3

DENAHAN WELLINGTON · CIK 0001235657 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,858

Underlying: Common Stock · 12,858 shares

Expires not disclosed

F2 · derivative.exercise_price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

F3 · balance_after: Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions.

SEC source: 0001628280-18-007221 · wf-form4_152727956543701.xml · derivative · entry 2

SCHAEFER JOHN H · CIK 0001188749 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,397

Underlying: Common Stock · 12,858 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F2 · balance_after: Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions, including 10,109 DSUs acquired pursuant to a dividend reinvestment for which no additional price was paid.

SEC source: 0001628280-18-007220 · wf-form4_152727954752561.xml · derivative · entry 2

Williams Vicki · CIK 0001721212 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,858

Underlying: Common Stock · 12,858 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F2 · balance_after: Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions.

SEC source: 0001628280-18-007219 · wf-form4_152727953003422.xml · derivative · entry 2

Fallon Katherine Beirne · CIK 0001721214 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,858

Underlying: Common Stock · 12,858 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F2 · balance_after: Reflects the aggregate amount of DSUs granted during the tenure of the respective director net of any conversions.

SEC source: 0001628280-18-001977 · wf-form4_151924892263791.xml · nonDerivative · entry 2

Green Anthony C · CIK 0001694411 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,000

SEC source: 0001628280-18-001977 · wf-form4_151924892263791.xml · nonDerivative · entry 1

Green Anthony C · CIK 0001694411 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,900

SEC source: 0001140361-17-045527 · doc1.xml · nonDerivative · entry 1

DENAHAN WELLINGTON · CIK 0001235657 · Director · Chairman of Board/Exec. Chair.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,798,414

F1 · price: The price reported above reflects the weighted average purchase price. The highest price at which the shares were purchased was $11.99 and the lowest price at which the shares were purchased was $11.955. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote in this Form 4.

SEC source: 0001140361-17-044666 · doc1.xml · nonDerivative · entry 2

VOTEK GLENN · CIK 0001584807 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,044

F1 · balance_after: Includes shares acquired through dividend reinvestments.

SEC source: 0001140361-17-044666 · doc1.xml · nonDerivative · entry 1

VOTEK GLENN · CIK 0001584807 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,744

F1 · balance_after: Includes shares acquired through dividend reinvestments.

SEC source: 0001140361-17-042252 · doc1.xml · nonDerivative · entry 6

SEGALAS DONNELL · CIK 0001259017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500

F3 · balance_after: Represents shares of Common Stock held jointly with daughter.

F3 · ownership.direct: Represents shares of Common Stock held jointly with daughter.

SEC source: 0001140361-17-042252 · doc1.xml · nonDerivative · entry 5

SEGALAS DONNELL · CIK 0001259017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500

F3 · balance_after: Represents shares of Common Stock held jointly with daughter.

F3 · ownership.direct: Represents shares of Common Stock held jointly with daughter.

SEC source: 0001140361-17-042252 · doc1.xml · nonDerivative · entry 4

SEGALAS DONNELL · CIK 0001259017 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See note

Disclosed balance after: 450

F2 · balance_after: Represents shares of Common Stock held by daughter. The reporting person disclaims beneficial ownership of these shares.

F2 · ownership.nature: Represents shares of Common Stock held by daughter. The reporting person disclaims beneficial ownership of these shares.

SEC source: 0001140361-17-042252 · doc1.xml · nonDerivative · entry 3

SEGALAS DONNELL · CIK 0001259017 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See note

Disclosed balance after: 450

F2 · balance_after: Represents shares of Common Stock held by daughter. The reporting person disclaims beneficial ownership of these shares.

F2 · ownership.nature: Represents shares of Common Stock held by daughter. The reporting person disclaims beneficial ownership of these shares.

SEC source: 0001140361-17-042252 · doc1.xml · nonDerivative · entry 2

SEGALAS DONNELL · CIK 0001259017 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See note

Disclosed balance after: 3,000

F1 · balance_after: Represents shares of Common Stock held by The Hercules Segalas Irrevocable Trust (the "Segalas Trust") for the benefit of an immediate family member of the reporting person. The reporting person is sole trustee of the Segalas Trust. The reporting person disclaims beneficial ownership of shares of Common Stock held by the Segalas Trust.

F1 · ownership.nature: Represents shares of Common Stock held by The Hercules Segalas Irrevocable Trust (the "Segalas Trust") for the benefit of an immediate family member of the reporting person. The reporting person is sole trustee of the Segalas Trust. The reporting person disclaims beneficial ownership of shares of Common Stock held by the Segalas Trust.