Form 8-K
8-K — ANNALY CAPITAL MANAGEMENT INC
Accession: 0001043219-26-000070
Filed: 2026-10-02
Period: 2026-10-02
CIK: 0001043219
SIC: 6798 (REAL ESTATE INVESTMENT TRUSTS)
Item: Material Modifications to Rights of Security Holders
Item: Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
Item: Financial Statements and Exhibits
Documents
8-K — nly-20261002.htm (Primary)
EX-3.1 (a8k261002ex31.htm)
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8-K
8-K (Primary)
Filename: nly-20261002.htm · Sequence: 1
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported)
October 2, 2026
Annaly Capital Management Inc
(Exact Name of Registrant as Specified in its Charter)
Maryland
1-13447 22-3479661
(State or other jurisdiction of incorporation or organization) (Commission File Number) (IRS Employer Identification No.)
1211 Avenue of the Americas
New York,
New York
10036
(Address of principal executive offices) (Zip Code)
Registrant’s telephone number, including area code: (212) 696-0100
Not Applicable
(Former Name or Former Address, if Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Title of Each Class Trading Symbol(s) Name of Each Exchange on Which Registered
Common Stock, par value $0.01 per share NLY New York Stock Exchange
6.95% Series F Fixed-to-Floating Rate Cumulative Redeemable Preferred Stock NLY.F New York Stock Exchange
6.50% Series G Fixed-to-Floating Rate Cumulative Redeemable Preferred Stock NLY.G New York Stock Exchange
8.875% Series J Fixed-Rate Cumulative Redeemable Preferred Stock NLY.J New York Stock Exchange
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 3.03 Material Modifications to Rights of Security Holders.
The information set forth in Item 5.03 of this report is incorporated herein by reference.
Item 5.03 Amendments to the Articles of Incorporation or Bylaws; Change in Fiscal Year.
On October 1, 2026, Annaly Capital Management, Inc. (the “Company”) redeemed all 17,700,000 shares of issued and outstanding 6.750% Series I Fixed-to-Floating Rate Cumulative Redeemable Preferred Stock, par value $0.01 per share (the “Series I Preferred Stock”). On October 2, 2026, the Company filed Articles Supplementary (the “Articles Supplementary”) with the State Department of Assessments and Taxation of Maryland which, effective October 2, 2026, reclassified and redesignated all 17,700,000 of its recently redeemed shares of Series I Preferred Stock as shares of common stock, par value $0.01 per share. As of October 2, 2026, no shares of Series I Preferred Stock were authorized, issued and outstanding.
A copy of the Articles Supplementary is filed as Exhibit 3.1 to this Current Report on Form 8-K and incorporated herein by reference. The description of the terms of the Articles Supplementary in this Item 5.03 is qualified in its entirety by reference to Exhibit 3.1.
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits
Exhibit No.
Description
3.1
Articles Supplementary filed with the State Department of Assessments and Taxation of Maryland effective October 2, 2026.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
ANNALY CAPITAL MANAGEMENT, INC.
(REGISTRANT)
By:
/s/ Serena Wolfe
Name:
Serena Wolfe
Title:
Chief Financial Officer
Dated: October 2, 2026
EX-3.1
EX-3.1
Filename: a8k261002ex31.htm · Sequence: 2
8k261002ex31
ANNALY CAPITAL MANAGEMENT, INC.
ARTICLES SUPPLEMENTARY
Annaly Capital Management, Inc., a Maryland corporation (the “Corporation”), hereby
certifies to the State Department of Assessments and Taxation of Maryland that:
FIRST: Pursuant to the terms of the Articles Supplementary classifying and designating
the terms of the Corporation’s 6.750% Series I Fixed-to-Floating Rate Cumulative Redeemable
Preferred Stock, $0.01 par value per share (the “Series I Preferred Stock”), the Board of
Directors of the Corporation (the “Board of Directors”), by duly adopted resolutions, redeemed
17,700,000 issued and outstanding shares of the Corporation’s Series I Preferred Stock, that,
upon redemption, shall be reclassified into authorized but unissued shares of the Corporation’s
preferred stock, $0.01 par value per share (the “Reclassified Preferred Stock”). Under a power
contained in Article VI of the charter of the Corporation (the “Charter”), the Board of Directors,
by duly adopted resolutions, reclassified and designated the Reclassified Preferred Stock as
shares of undesignated common stock, par value $0.01 per share (the “Common Stock”), of the
Corporation.
SECOND: The Common Stock classified as set forth above shall have the preferences,
conversion and other rights, voting powers, restrictions, limitations as to dividends and other
distributions, qualifications, and terms and conditions of redemption of shares of Common Stock
as set forth in the Charter.
THIRD: The foregoing shares of Reclassified Preferred Stock have been reclassified and
designated by the Board of Directors under the authority contained in the Charter.
FOURTH: These Articles Supplementary have been approved by the Board of Directors
in the manner and by the vote required by law. The total number of authorized shares of capital
stock of the Corporation will not change as a result of these Articles Supplementary.
FIFTH: Upon the filing of these Articles Supplementary, the total number of shares of
capital stock which the Corporation has authority to issue is 1,531,750,000, consisting of
1,474,450,000 shares of Common Stock, 28,800,000 shares of 6.95% Series F Fixed-to-Floating
Rate Cumulative Redeemable Preferred Stock, $0.01 par value per share, 17,000,000 shares of
6.50% Series G Fixed-to-Floating Rate Cumulative Redeemable Preferred Stock, $0.01 par value
per share, and 11,500,000 shares of 8.8750% Series J Fixed-Rated Cumulative Redeemable
Preferred Stock, $0.01 par value per share. The aggregate par value of all shares of stock having
par value is $15,317,500.
SIXTH: The undersigned officer of the Corporation acknowledges these Articles
Supplementary to be the corporate act of the Corporation and, as to all matters or facts required
to be verified under oath, the undersigned officer acknowledges that, to the best of such officer’s
knowledge, information and belief, these matters and facts are true in all material respects and
that this statement is made under the penalties of perjury.
- Signature Page Follows -
IN WITNESS WHEREOF, the Corporation has caused these Articles Supplementary to
be executed in its name and on its behalf by its Chief Executive Officer and Co-Chief Investment
Officer and attested to by its Chief Legal Officer, General Counsel and Secretary on this 2nd day
of October, 2026.
ATTEST:
ANNALY CAPITAL MANAGEMENT, INC.
By:
/s/ Audrey K. Susanin
By:
/s/ David L. Finkelstein
Name:
Audrey K. Susanin
Name:
David L. Finkelstein
Title:
Chief Legal Officer, General
Counsel and Secretary
Title:
Chief Executive Officer and Co-Chief
Investment Officer
Signature Page – Articles Supplementary (Reclassification of Series I Preferred Stock)
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Cover Page
Oct. 02, 2026
Document Information [Line Items]
Document Type
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Document Period End Date
Oct. 02, 2026
Entity Registrant Name
Annaly Capital Management Inc
Entity Incorporation, State or Country Code
MD
Entity File Number
1-13447
Entity Tax Identification Number
22-3479661
Entity Address, Address Line One
1211 Avenue of the Americas
Entity Address, City or Town
New York,
Entity Address, State or Province
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Entity Address, Postal Zip Code
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City Area Code
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Local Phone Number
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Common Stock, par value $0.01 per share
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Title of 12(b) Security
Common Stock, par value $0.01 per share
Trading Symbol
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Security Exchange Name
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6.95% Series F Fixed-to-Floating Rate Cumulative Redeemable Preferred Stock
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Title of 12(b) Security
6.95% Series F Fixed-to-Floating Rate Cumulative Redeemable Preferred Stock
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Security Exchange Name
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Security Exchange Name
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8.875% Series J Fixed-Rate Cumulative Redeemable Preferred Stock
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