0001157523-21-000011 4 1 20210102 20210105 20210105 MARRIA MOHIT 0001594020 4 34 001-33796 21506123 1211 AVENUE OF THE AMERICAS, STE 2902 NEW YORK NY 10036 CHIMERA INVESTMENT CORP 0001409493 6798 260630461 MD 1231 520 MADISON AVENUE 32ND FLOOR NEW YORK NY 10022 212-626-2300 520 MADISON AVENUE 32ND FLOOR NEW YORK NY 10022 4 1 form4.xml CHIMERA INVESTMENT CORP. FORM 4 - MARRIA FORM 4 OMB APPROVAL [ ] Check this OMB Number: box if no longer UNITED STATES SECURITIES AND EXCHANGE COMMISSION 3235-0287 subject to Washington, D.C. 20549 Estimated Section 16. Form STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF average burden 4 or Form 5 SECURITIES hours per obligations may response... 0.5 continue. See Instruction 1(b). Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 1. Name and Address of Reporting 2. Issuer Name and Ticker 5. Relationship of Person * or Trading Symbol Reporting Person(s) to MARRIA MOHIT CHIMERA INVESTMENT CORP [ Issuer (Check all CIM ] applicable) __X__ Director _____ 10% Owner __X__ Officer (give title (Last) (First) (Middle) 3. Date of Earliest below) _____ Other C/O: CHIMERA INVESTMENT Transaction (MM/DD/YYYY) (specify below) CORPORATION, 520 MADISON AVENUE, 1/2/2021 CEO & Chief Investment 32ND FLOOR Officer (Street) 4. If Amendment, Date 6. Individual or NEW YORK, NY 10022 Original Filed Joint/Group Filing (Check (City) (State) (Zip) (MM/DD/YYYY) Applicable Line) _X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security 2. Trans. Date 2A. 3. Trans. Code 4. Securities Acquired (A) or Disposed 5. Amount of 6. Ownership Form: 7. Nature of (Instr. 3) Deemed (Instr. 8) of (D) Securities Direct (D) or Indirect Execution (Instr. 3, 4 and 5) Beneficially Owned Indirect (I) Beneficial Date, if Following Reported (Instr. 4) Ownership (Instr. any (A) Transaction(s) 4) or (Instr. 3 and 4) Code V Amount (D) Price Common Stock 1/2/2021 A (1) 47421 (2) A $0 (3) 480952 (4) D Common Stock 1/2/2021 A (5) 500000 (2) A $0 (3) 980952 (4) D Common Stock 43236 I By 401(k) Plan Common Stock 3547 I By Ish Marria (6) Common Stock 3547 I By Sana Marria (6) 8.00% Series A Cumulative Redeemable 3000 I By Spouse (6) Preferred Stock Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 1. Title of 2. 3. 3A. 4. Trans. 5. Number of 6. Date Exercisable 7. Title and Amount of 8. Price 9. Number of 10. 11. Nature Derivate Conversion Trans. Deemed Code Derivative and Expiration Date Securities Underlying of derivative Ownership of Security or Date Execution (Instr. 8) Securities Derivative Security Derivative Securities Form of Indirect (Instr. 3) Exercise Date, if Acquired (A) or (Instr. 3 and 4) Security Beneficially Derivative Beneficial Price of any Disposed of (D) (Instr. 5) Owned Security: Ownership Derivative (Instr. 3, 4 Following Direct (D) (Instr. 4) Security and 5) Reported or Transaction(s) Indirect Date Expiration Amount or (Instr. 4) (I) Exercisable Date Title Number of (Instr. 4) Code V (A) (D) 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) Represents shares of Chimera common stock underlying RSUs. The RSUs are scheduled to vest one-fifth per year on January 15 of each year starting from January 15, 2021 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. (6) 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 Reporting Owner Name / Address Relationships Director 10% Owner Officer Other MARRIA MOHIT C/O: CHIMERA INVESTMENT CEO & Chief Investment CORPORATION X Officer 520 MADISON AVENUE, 32ND FLOOR NEW YORK, NY 10022 Signatures /s/ Mohit Marria 1/5/2021 ** Signature of Reporting Person Date Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * 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). Note: File three copies of this Form, one of which must be manually signed. 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