LOW PAUL M 4
4 · CAPSTEAD MORTGAGE CORP · Filed May 30, 2012
Insider Transaction Report
Form 4
LOW PAUL M
Director
Transactions
- Sale
Series B Convertible Preferred
2009-11-12$13.61/sh−5,000$68,050→ 50,000 total→ Common Stock (2,990 underlying) - Sale
Series B Convertible Preferred
2011-03-11$14.04/sh−5,000$70,180→ 30,000 total→ Common Stock (2,990 underlying) - Sale
Series B Convertible Preferred
2010-01-15$14.32/sh−5,000$71,590→ 45,000 total→ Common Stock (2,990 underlying) - Sale
Series B Convertible Preferred
2009-09-30$14.30/sh−5,000$71,500→ 55,000 total→ Common Stock (2,990 underlying) - Sale
Series B Convertible Preferred
2011-05-23$14.49/sh−3,000$43,481→ 27,000 total→ Common Stock (1,794 underlying) - Sale
Series B Convertible Preferred
2009-07-17$13.51/sh−5,000$67,550→ 60,000 total→ Common Stock (2,990 underlying)
Holdings
- 32,733
Common Stock
- 5,000
Nonqualified Director Stock Option (right to buy)
Exercise: $10.58From: 2008-04-15Exp: 2017-05-07→ Common Stock (5,000 underlying) - 380(indirect: By Trust)
Series B Convertible Preferred
→ Common Stock (220.78 underlying) - 0(indirect: By Trust)
Common Stock
Footnotes (10)
- [F1]The shares are held in a trust account for the benefit of the reporting person's granddaughter. The reporting person is co-trustee and has investment control over the trust.
- [F10]The shares are held in a trust for the benefit of the reporting person's grandson. The reporting person is co-trustee and has investment control over the trust.
- [F2]The Capstead $1.26 Cumulative Convertible Preferred Stock, Series B, is traded on the New York Stock exchange under the symbol CMOPRB. The preferred stock is perpetual and is convertible into the Capstead common stock at any time at the stockholder's option. The preferred stock is callable at the option of the company at $12.50 per share and an exercise date and price are not applicable.
- [F3]Represents a sale of preferred stock on July 17, 2009 that was inadvertently unreported.
- [F4]Represents a sale of preferred stock on September 30, 2009 that was inadvertently unreported.
- [F5]Represents a sale of preferred stock on November 12, 2009 that was inadvertently unreported.
- [F6]Represents a sale of preferred stock on January 15, 2010 that was inadvertently unreported.
- [F7]Represents a sale of preferred stock on March 11, 2011 that was inadvertently unreported.
- [F8]Represents a sale of preferred stock on May 23, 2011 that was inadvertently unreported.
- [F9]This Form 4 also serves as an amendment to all Form 4s filed for Mr. Low after the date of the first transaction noted above and prior to the date hereof, to properly reflect the cumulative Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) in column 9.