Statement of Changes in Beneficial Ownership (4)
08 Fevereiro 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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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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Kardis Phillip John II |
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)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chief Legal 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)
2/4/2022 |
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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 | 2/4/2022 | | A(1) | | 33623 (2) | A | $0 | 297851 (3) | D | |
| Common Stock | 2/4/2022 | | F | | 34330 (4) | D | $14.29 | 263521 | D | |
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 performance share units ("PSUs"), and accrued DERs, that vested on February 4, 2022. |
| (2) | Each PSU has the economic equivalent of one share of Chimera common stock. |
| (3) | Dividend equivalent rights ("DERs") issued on PSUs and restricted stock units ("RSUs") are included in the reporting person's common stock holding balance. Each DER is the economic equivalent of one share of Chimera common stock. |
| (4) | Shares reported were withheld for payment of taxes associated with the vesting of prior grants of PSUs and RSUs and Medicare taxes associated with the deferred stock units. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Kardis Phillip John II
C/O: CHIMERA INVESTMENT CORPORATION
630 FIFTH AVENUE, SUITE 2400
NEW YORK, NY 10111 |
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| Chief Legal Officer |
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Signatures
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| /s/ PHILLIP JOHN KARDIS II | | 2/8/2022 |
| **Signature of Reporting Person | Date |
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