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What changed 10-Q

Item 5. Other Information

2024-10-31 compared with 2024-07-29 · 37 added, 15 removed, 30 unchanged (63% of the section changed)

OTHER INFORMATION

During the quarter ended June 30, 2024, no director or officer of the Company adopted , modified or terminated any Rule 10b5-1 trading arrangement or non-Rule 10b5-1 trading arrangement, each as defined in Item 408 of Regulation S-K, except as set forth below:

Name and Title Date of Adoption of Rule 10b5-1 Trading Plan Duration of 10b5-1 Trading Arrangements Aggregate Number of Securities to be Purchased or Sold

Finkelstein , Chief Executive Officer and Chief Investment Officer

May 16, 2024 The plan’s maximum duration is until December 5, 2025 and the first trades will not occur until August 16, 2024 at the earliest Up to 300,000 shares of common stock in multiple transactions

Anthony Green ,

Chief Corporate Officer and Chief Legal Officer

May 16, 2024 The plan’s maximum duration is until March 7, 2025 and the first trades will not occur until August 16, 2024 at the earliest Up to 50,000 shares of common stock in multiple transactions

During the quarter ended September 30, 2024, no director or officer of the Company adopted , modified or terminated any Rule 10b5-1 trading arrangement or non-Rule 10b5-1 trading arrangement.

The exhibits required by this item are set forth on the Exhibit Index attached hereto.

Exhibit Number Exhibit Description

Distribution Agency Agreement, dated September 20, 2024, by and among Annaly Capital Management, Inc.

and Barclays Capital Inc.

(incorporated by reference to Exhibit 1.1 to the Registrant's Current Report on Form 8-K filed September 20, 2024).

Distribution Agency Agreement, dated September 20, 2024, by and among Annaly Capital Management, Inc.

and BNP Paribas Securities Corp.

(incorporated by reference to Exhibit 1.2 to the Registrant's Current Report on Form 8-K filed September 20, 2024).

Distribution Agency Agreement, dated September 20, 2024, by and among Annaly Capital Management, Inc.

and BofA Securities, Inc.

(incorporated by reference to Exhibit 1.3 to the Registrant's Current Report on Form 8-K filed September 20, 2024).

Distribution Agency Agreement, dated September 20, 2024, by and among Annaly Capital Management, Inc.

and Citizens JMP Securities, LLC (incorporated by reference to Exhibit 1.4 to the Registrant's Current Report on Form 8-K filed September 20, 2024).

"Distribution Agency Agreement, dated September 20, 2024, by and among Annaly Capital Management, Inc.

and Goldman Sachs & Co.

LLC (incorporated by reference to Exhibit 1.5 to the Registrant's Current Report on Form 8-K filed September 20, 2024).

Distribution Agency Agreement, dated September 20, 2024, by and among Annaly Capital Management, Inc.

Morgan Securities LLC (incorporated by reference to Exhibit 1.6 to the Registrant's Current Report on Form 8-K filed September 20, 2024).

ANNALY CAPITAL MANAGEMENT, INC.

AND SUBSIDIARIES

Exhibit Number Exhibit Description

Distribution Agency Agreement, dated September 20, 2024, by and among Annaly Capital Management, Inc.

and Keefe, Bruyette & Woods, Inc.

(incorporated by reference to Exhibit 1.7 to the Registrant's Current Report on Form 8-K filed September 20, 2024).

Distribution Agency Agreement, dated September 20, 2024, by and among Annaly Capital Management, Inc.

and Morgan Stanley & Co.

LLC (incorporated by reference to Exhibit 1.8 to the Registrant's Current Report on Form 8-K filed September 20, 2024).

Distribution Agency Agreement, dated September 20, 2024, by and among Annaly Capital Management, Inc.

and RBC Capital Markets, LLC (incorporated by reference to Exhibit 1.9 to the Registrant's Current Report on Form 8-K filed September 20, 2024).

Distribution Agency Agreement, dated September 20, 2024, by and among Annaly Capital Management, Inc.

and UBS Securities LLC (incorporated by reference to Exhibit 1.10 to the Registrant's Current Report on Form 8-K filed September 20, 2024).

Distribution Agency Agreement, dated September 20, 2024, by and among Annaly Capital Management, Inc.

and Wells Fargo Securities, LLC (incorporated by reference to Exhibit 1.11 to the Registrant's Current Report on Form 8-K filed September 20, 2024).

Certification of David L.

10 unchanged sentences

The following documents are formatted in Inline XBRL:

(i) Consolidated Statements of Financial Condition at June 30, 2024 (Unaudited) and December 31, 2023 (Derived from the audited Consolidated Statement of Financial Condition at December 31, 2023);

(ii) Consolidated Statements of Comprehensive Income (Loss) (Unaudited) for the three and six months ended June 30, 2024 and 2023;

(iii) Consolidated Statements of Stockholders’ Equity (Unaudited) for the three and six months ended June 30, 2024 and 2023;

(iv) Consolidated Statements of Cash Flows (Unaudited) for the six months ended June 30, 2024 and 2023;

(i) Consolidated Statements of Financial Condition at September 30, 2024 (Unaudited) and December 31, 2023 (Derived from the audited Consolidated Statement of Financial Condition at December 31, 2023);

(ii) Consolidated Statements of Comprehensive Income (Loss) (Unaudited) for the three and nine months ended September 30, 2024 and 2023;

(iii) Consolidated Statements of Stockholders’ Equity (Unaudited) for the three and nine months ended September 30, 2024 and 2023;

(iv) Consolidated Statements of Cash Flows (Unaudited) for the nine months ended September 30, 2024 and 2023;

and (v) Notes to Consolidated Financial Statements (Unaudited).

4 unchanged sentences

101.PRE XBRL Taxonomy Extension Presentation Linkbase Document †

104 The cover page for the Registrant’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2024 (formatted in Inline XBRL and contained in Exhibit 101).

104 The cover page for the Registrant’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2024 (formatted in Inline XBRL and contained in Exhibit 101).

† Submitted electronically herewith.

3 unchanged sentences

ANNALY CAPITAL MANAGEMENT, INC.

July 29, 2024 By:

October 31, 2024 By:

Chief Executive Officer, Chief Investment Officer and Director (Principal Executive Officer)

July 29, 2024 By:

October 31, 2024 By:

/s/ Serena Wolfe

1 unchanged sentence

Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.