Statement of Changes in Beneficial Ownership (4)
04 Janeiro 2022 - 6:37PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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MARRIA MOHIT |
2. Issuer Name and Ticker or Trading Symbol
CHIMERA INVESTMENT CORP
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CIM
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
CEO & Chief Investment Officer |
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(Last)
(First)
(Middle)
C/O: CHIMERA INVESTMENT CORPORATION, 630 FIFTH AVENUE, SUITE 2400 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/4/2022 |
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(Street)
NEW YORK, NY 10111
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 1/1/2022 | | A(1) | | 32673 (2) | A | $0 (3) | 1109122 (4) | D | |
| Common Stock | | | | | | | | 43236 | I | By 401(k) Plan |
| Common Stock | | | | | | | | 3898 | I | By Ish Marria (5) |
| Common Stock | | | | | | | | 3898 | I | By Sana Marria (5) |
| 8.00% Series A Cumulative Redeemable Preferred Stock | | | | | | | | 3000 | I | By Spouse (5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Explanation of Responses: |
| (1) | Represents shares of Chimera common stock underlying restricted stock units ("RSUs"). The RSUs are scheduled to vest one-third per year on the first, second and third anniversaries of the grant date and shall be settled 100% in shares of Chimera common stock. The reporting person does not intend to report the vesting of the RSUs nor the delivery of the shares of common stock. |
| (2) | The reporting person elected to defer share settlement until separation of service (such deferred share units are herein referred to as "DSUs"). |
| (3) | Each RSU has the economic equivalent of one share of Chimera common stock. |
| (4) | Dividend equivalent rights ("DERs") issued on RSUs and DSUs are included in the reporting person's common stock holding balance. Each DER is the economic equivalent of one share of Chimera common stock. |
| (5) | The reporting person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
MARRIA MOHIT
C/O: CHIMERA INVESTMENT CORPORATION
630 FIFTH AVENUE, SUITE 2400
NEW YORK, NY 10111 | X |
| CEO & Chief Investment Officer |
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Signatures
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| /s/ Mohit Marria | | 1/4/2022 |
| **Signature of Reporting Person | Date |
Chimera Investment (NYSE:CIM-D)
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