John H Schaefer

Insider

First SEC filing: March 25, 2013 · Latest: Jan. 10, 2020

On this page

Insider at Companies where this person is a reporting insider.
Insider transactions Every share this person bought or sold, from Form 4 filings.
Derivatives Options and other derivative holdings reported by this person.
Initial holdings The stakes this person held when they first started reporting.

Insider at

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 16 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

16 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
May 25, 2017	NLY	A	11,451	—	—	40,278 Direct	+39.72%	Acquired	(price as of 2026-08-19)
May 26, 2016	NLY	A	12,617	—	—	25,832 Direct	+95.47%	Acquired	(price as of 2026-08-19)
May 21, 2016	NLY	M	14,864	—	—	62,742 Direct	+31.05%	Acquired	(price as of 2026-08-19)
May 21, 2016	NLY	M	14,864	—	—	13,215 Direct	-52.94%	Disposed	(price as of 2026-08-19)
May 22, 2015	NLY	M	12,878	—	—	24,929 Direct	-34.06%	Disposed	(price as of 2026-08-19)
May 22, 2015	NLY	M	12,878	—	—	47,878 Direct	+36.79%	Acquired	(price as of 2026-08-19)
May 21, 2015	NLY	A	13,197	—	—	37,807 Direct	+53.62%	Acquired	(price as of 2026-08-19)
May 22, 2014	NLY	A	11,539	—	—	11,539 Direct	—	Acquired	(price as of 2026-08-19)
Aug. 12, 2013	NLY	P	10,000	$12.00	$120,000	35,000 Direct	+40.00%	Acquired	-50.3% (price as of 2026-08-19)
May 6, 2013	NLY	P	25,000	$15.16	$379,000	25,000 Direct	—	Acquired	-60.7% (price as of 2026-08-19)
Jan. 7, 2005	MS	M	95,184	$54.88	$5,223,698	405,943 Direct	+30.63%	Acquired	296.0% (price as of 2026-08-19)
Jan. 7, 2005	MS	F	93,843	$56.45	$5,297,437	312,100 Direct	-23.12%	Disposed	284.9% (price as of 2026-08-19)
Jan. 7, 2005	MS	M	95,184	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-19)
Dec. 14, 2004	MS	A	67,005	—	—	310,759 Direct	+27.49%	Acquired	(price as of 2026-08-19)
Sept. 8, 2004	MS	F	10,092	$52.53	$530,133	243,754 Direct	-3.98%	Disposed	313.7% (price as of 2026-08-19)
Nov. 28, 2003	MS	A	65,264	—	—	65,264 Direct	—	Acquired	(price as of 2026-08-19)
Nov. 28, 2003	MS	A	29,006	—	—	253,846 Direct	+12.90%	Acquired	(price as of 2026-08-19)
Sept. 8, 2003	MS	F	5,532	$48.55	$268,579	224,840 Direct	-2.40%	Disposed	347.6% (price as of 2026-08-19)

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II)

Options, RSUs and convertible securities reported on Form 4 Table II.

Date	Ticker	Security	Underlying	Exercise price	Expiration	Shares	A/D
May 25, 2017	NLY	Deferred Stock Units	Common Stock (11,451)	—	—	11,451	Acquired
May 26, 2016	NLY	Deferred Stock Units	Common Stock (12,617)	—	—	12,617	Acquired
May 21, 2016	NLY	Deferred Stock Units	Common Stock	—	—	14,864	Disposed
May 22, 2015	NLY	Deferred Stock Units	Common Stock	—	—	12,878	Disposed
May 21, 2015	NLY	Deferred Stock Units	Common Stock (13,197)	—	—	13,197	Acquired
May 22, 2014	NLY	Deferred Stock Units	Common Stock (11,539)	—	—	11,539	Acquired
Jan. 7, 2005	MS	Restoration Option (Right to Buy)	Common Stock (95,184)	$54.88	Jan. 19, 2005	95,184	Disposed
Nov. 28, 2003	MS	Employee Stock Option (Right to Buy)	Common Stock (65,264)	$55.45	Jan. 2, 2014	65,264	Acquired

Exercise/conversion price is blank when not applicable (e.g. RSUs).

Initial ownership (Form 3) 1 holding

Securities held when first becoming an insider, per SEC Form 3.

Date	Ticker	Security	Shares	Ownership
March 25, 2013	NLY	Common Stock	0	Direct