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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) | ||
| 1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Stock Option | $ 20.32 | 08/14/2014 | M | 2,000 (1) (2) | 08/31/2007(7) | 09/24/2014 | Class C Non-Voting Common Stock | 2,000 | $ 20.32 | 0 | D | ||||
| Stock Option | $ 24.34 | 08/14/2014 | M | 3,000 (2) (4) | 08/31/2008(8) | 09/30/2015 | Class C Non-Voting Common Stock | 3,000 | $ 24.34 | 0 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Mullery Stephen P C/O FARMER MAC 1999 K STREET N.W., 4TH FLOOR WASHINGTON, DC 20006 |
SVP - General Counsel | |||
| Stephen P. Mullery | 08/15/2014 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | This report reflects (on Table I) (i) the acquisition of 2,000 shares of Class C Non-Voting Common Stock through the exercise of a previously unexercised employee stock option acquired by the reporting person in September 2004 pursuant to former Rule 16b-3; (ii) the sale of 2,000 shares of Class C Non-Voting Common Stock; and (on Table II) (iii) the exercise of the September 2004 employee stock option. The exercise of the September 2004 employee stock option is exempt under Section 16(b) under Rule 16b-6 but is reported herein pursuant to Rule 16a-4. |
| (2) | Transaction effected during an open trading window for key employees and directors of the Federal Agricultural Mortgage Corporation. |
| (3) | Includes 8,610 shares of unvested restricted stock previously granted pursuant to Farmer Mac's 2008 Omnibus Incentive Plan. The grants of restricted stock have been described in detail in Farmer Mac's prior filings with the Securities and Exchange Commission. |
| (4) | This report reflects (on Table I) (i) the acquisition of 3,000 shares of Class C Non-Voting Common Stock through the exercise of a previously unexercised employee stock option acquired by the reporting person in September 2005 pursuant to former Rule 16b-3; (ii) the sale of 3,000 shares of Class C Non-Voting Common Stock; and (on Table II) (iii) the exercise of the September 2005 employee stock option. The exercise of the September 2005 employee stock option is exempt under Section 16(b) under Rule 16b-6 but is reported herein pursuant to Rule 16a-4. |
| (5) | The price reported in Column 4 is a weighted average price. These shares of Class C Non-Voting Common Stock were sold in multiple transactions at prices ranging from $32.75 to $33.15, inclusive. The Reporting Person undertakes to provide to the Federal Agricultural Mortgage Corporation, any security holder of the Federal Agricultural Mortgage Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to Form 4. |
| (6) | The price reported in Column 4 is a weighted average price. These shares of Class C Non-Voting Common Stock were sold in multiple transactions at prices ranging from $32.34 to $32.83, inclusive. The Reporting Person undertakes to provide to the Federal Agricultural Mortgage Corporation, any security holder of the Federal Agricultural Mortgage Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to Form 4. |
| (7) | Exercisable beginning August 31, 2005 with respect to 666 shares, beginning August 31, 2006 with respect to 667 shares, and beginning August 31, 2007 with respect to 667 shares. |
| (8) | Exercisable beginning August 31, 2006 with respect to 1,000 shares, beginning August 31, 2007 with respect to 1,000 shares, and beginning August 31, 2008 with respect to 1,000 shares. |