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Mfa Financial, Inc. – ‘10-K’ for 12/31/23 – ‘EX-32.1’

On:  Thursday, 2/22/24, at 5:24pm ET   ·   For:  12/31/23   ·   Accession #:  1055160-24-5   ·   File #:  1-13991

Previous ‘10-K’:  ‘10-K’ on 2/24/23 for 12/31/22   ·   Latest ‘10-K’:  This Filing   ·   29 References:   

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  As Of               Filer                 Filing    For·On·As Docs:Size

 2/22/24  Mfa Financial, Inc.               10-K       12/31/23  138:24M

Annual Report   —   Form 10-K   —   SEA’34

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-K        Annual Report                                       HTML   5.05M 
 2: EX-4.1      Instrument Defining the Rights of Security Holders  HTML    359K 
 6: EX-10.16    Material Contract                                   HTML     61K 
 7: EX-10.17    Material Contract                                   HTML     85K 
 3: EX-10.3     Material Contract                                   HTML     39K 
 4: EX-10.8     Material Contract                                   HTML     93K 
 5: EX-10.9     Material Contract                                   HTML     96K 
 8: EX-21       Subsidiaries List                                   HTML     38K 
 9: EX-23.1     Consent of Expert or Counsel                        HTML     35K 
14: EX-97.1     Clawback Policy re: Recovery of Erroneously         HTML     63K 
                Awarded Compensation                                             
10: EX-31.1     Certification -- §302 - SOA'02                      HTML     41K 
11: EX-31.2     Certification -- §302 - SOA'02                      HTML     41K 
12: EX-32.1     Certification -- §906 - SOA'02                      HTML     38K 
13: EX-32.2     Certification -- §906 - SOA'02                      HTML     38K 
20: R1          Cover                                               HTML    114K 
21: R2          Audit Information                                   HTML     41K 
22: R3          Consolidated Balance Sheets                         HTML    110K 
23: R4          Consolidated Balance Sheets (Parenthetical)         HTML     75K 
24: R5          Consolidated Statements of Operations               HTML    129K 
25: R6          Consolidated Statements of Comprehensive            HTML     69K 
                Income/(Loss)                                                    
26: R7          Consolidated Statements of Changes in               HTML    129K 
                Stockholders? Equity                                             
27: R8          Consolidated Statements of Changes in               HTML     57K 
                Stockholders? Equity (Parenthetical)                             
28: R9          Consolidated Statements of Cash Flows               HTML    156K 
29: R10         Organization                                        HTML     39K 
30: R11         Summary of Significant Accounting Policies          HTML    107K 
31: R12         Residential Whole Loans                             HTML    536K 
32: R13         Securities, at Fair Value                           HTML    177K 
33: R14         Other Assets                                        HTML    173K 
34: R15         Financing Agreements                                HTML    194K 
35: R16         Other Liabilities                                   HTML     47K 
36: R17         Income Taxes                                        HTML     87K 
37: R18         Commitments and Contingencies                       HTML     52K 
38: R19         Stockholders? Equity                                HTML    161K 
39: R20         EPS Calculation                                     HTML     71K 
40: R21         Equity Compensation and Other Benefit Plans         HTML    167K 
41: R22         Fair Value of Financial Instruments                 HTML    243K 
42: R23         Use of Special Purpose Entities and Variable        HTML     67K 
                Interest Entities                                                
43: R24         Segment Reporting                                   HTML    219K 
44: R25         Subsequent Events                                   HTML     40K 
45: R26         Schedule IV - Mortgage Loans on Real Estate         HTML     66K 
46: R27         Summary of Significant Accounting Policies          HTML    143K 
                (Policies)                                                       
47: R28         Residential Whole Loans (Tables)                    HTML    546K 
48: R29         Securities, at Fair Value (Tables)                  HTML    179K 
49: R30         Other Assets (Tables)                               HTML    463K 
50: R31         Financing Agreements (Tables)                       HTML    197K 
51: R32         Other Liabilities (Tables)                          HTML     46K 
52: R33         Income Taxes (Tables)                               HTML     83K 
53: R34         Commitments and Contingencies (Tables)              HTML     46K 
54: R35         Stockholders? Equity (Tables)                       HTML    145K 
55: R36         EPS Calculation (Tables)                            HTML     70K 
56: R37         Equity Compensation and Other Benefit Plans         HTML    160K 
                (Tables)                                                         
57: R38         Fair Value of Financial Instruments (Tables)        HTML    227K 
58: R39         Use of Special Purpose Entities and Variable        HTML     55K 
                Interest Entities (Tables)                                       
59: R40         Segment Reporting (Tables)                          HTML    208K 
60: R41         Summary of Significant Accounting Policies - Basis  HTML     38K 
                of Presentation and Consolidation (Details)                      
61: R42         Summary of Significant Accounting Policies -        HTML     39K 
                Residential Whole Loans (Details)                                
62: R43         Summary of Significant Accounting Policies - Cash   HTML     45K 
                and Cash Equivalents & Restricted Cash (Details)                 
63: R44         Summary of Significant Accounting Policies -        HTML     50K 
                Goodwill & Intangible Assets (Details)                           
64: R45         Summary of Significant Accounting Policies -        HTML     42K 
                Leases and Depreciation (Details)                                
65: R46         Summary of Significant Accounting Policies -        HTML     49K 
                Equity-Based Compensation (Details)                              
66: R47         Summary of Significant Accounting Policies -        HTML     66K 
                Earnings per Common Share (?Eps?) (Details)                      
                (Details)                                                        
67: R48         Summary of Significant Accounting Policies -        HTML     37K 
                Contingencies (Details)                                          
68: R49         Residential Whole Loans - Narrative (Details)       HTML     74K 
69: R50         Residential Whole Loans - Residential Whole Loans,  HTML    103K 
                at Carrying and Fair Value (Details)                             
70: R51         Residential Whole Loans - Residential Whole Loans,  HTML    142K 
                at Carrying Value Additional Information (Details)               
71: R52         Residential Whole Loans - Allowance for Credit      HTML     88K 
                Losses (Details)                                                 
72: R53         Residential Whole Loans - Additional Credit         HTML    221K 
                Related Information (Details)                                    
73: R54         Residential Whole Loans - LTV on Loans (Details)    HTML     67K 
74: R55         Residential Whole Loans - Interest Income           HTML     83K 
                Components (Details)                                             
75: R56         Securities, at Fair Value - Composition of Agency   HTML     76K 
                MBS Portfolio (Details)                                          
76: R57         Securities, at Fair Value - Narrative (Details)     HTML     92K 
77: R58         Securities, at Fair Value - Residential Mortgage    HTML     82K 
                Securities (Details)                                             
78: R59         Securities, at Fair Value - Impairment and Other    HTML     54K 
                Net Gain/(Loss) on Securities and Other Portfolio                
                Investments (Details)                                            
79: R60         Securities, at Fair Value - Impact of AFS           HTML     50K 
                Securities on AOCI (Details)                                     
80: R61         Securities, at Fair Value - Interest Income         HTML     59K 
                (Details)                                                        
81: R62         Other Assets - Schedule of Other Assets (Details)   HTML     71K 
82: R63         Other Assets - Real Estate Owned and Commercial     HTML     60K 
                REO (Details)                                                    
83: R64         Other Assets - Real Estate Owned - Activity         HTML     57K 
                (Details)                                                        
84: R65         Other Assets - Goodwill and Intangible Assets       HTML     44K 
                (Details)                                                        
85: R66         Other Assets - Finite-Lived Intangible Assets       HTML     57K 
                Amortization Expense (Details)                                   
86: R67         Other Assets - Capital Contributions Made to Loan   HTML     63K 
                Origination Partners (Details)                                   
87: R68         Other Assets - Information on Commercial Mortgage   HTML     63K 
                Loans (Details)                                                  
88: R69         Other Assets - Collateral Pledged Against           HTML     45K 
                Derivative Contracts (Details)                                   
89: R70         Other Assets - Derivative Instruments - Narrative   HTML     43K 
                (Details)                                                        
90: R71         Other Assets - Derivative Instruments (Details)     HTML     74K 
91: R72         Other Assets - Impact of Derivative Instruments on  HTML     49K 
                Earnings (Details)                                               
92: R73         Financing Agreements - Financing Agreements         HTML    105K 
                (Details)                                                        
93: R74         Financing Agreements - Borrowings Under Repurchase  HTML     66K 
                Agreement And Associated Assets Pledged as                       
                Collateral (Details)                                             
94: R75         Financing Agreements - Financing Agreements, at     HTML     40K 
                Fair Values - Narrative (Details)                                
95: R76         Financing Agreements - Borrowings Under Repurchase  HTML     56K 
                Agreement (Details)                                              
96: R77         Financing Agreements - Convertible Senior Notes     HTML     85K 
                (Details)                                                        
97: R78         Financing Agreements - Counterparty for Repurchase  HTML     55K 
                Agreement (Details)                                              
98: R79         Financing Agreements - Pledged Collateral           HTML     78K 
                (Details)                                                        
99: R80         Other Liabilities (Details)                         HTML     51K 
100: R81         Income Taxes - Narrative (Details)                  HTML     40K  
101: R82         Income Taxes - Net Deferred Tax Assets (Details)    HTML     48K  
102: R83         Income Taxes - Income Tax Provision (Benefit)       HTML     59K  
                (Details)                                                        
103: R84         Income Taxes - Statutory Federal Tax Rate to our    HTML     50K  
                Effective Tax Rate (Details)                                     
104: R85         Commitments and Contingencies - Lease Commitments   HTML     54K  
                (Details)                                                        
105: R86         Commitments and Contingencies - Minimum Payments    HTML     55K  
                (Details)                                                        
106: R87         Commitments and Contingencies - Loan Commitments    HTML     40K  
                (Details)                                                        
107: R88         Stockholders? Equity - Series B (Details)           HTML     68K  
108: R89         Stockholders? Equity - Dividends on Preferred       HTML     50K  
                Stock (Details)                                                  
109: R90         Stockholders? Equity - Series C (Details)           HTML     78K  
110: R91         Stockholders? Equity - Dividends on Common Stock    HTML     55K  
                (Details)                                                        
111: R92         Stockholders? Equity - DRSPP (Details)              HTML     55K  
112: R93         Stockholders? Equity - Stock Repurchase Program     HTML     50K  
                (Details)                                                        
113: R94         Stockholders? Equity - AOCI (Details)               HTML     60K  
114: R95         EPS Calculation (Details)                           HTML     99K  
115: R96         Equity Compensation and Other Benefit Plans -       HTML     56K  
                Equity Compensation Plan (Details)                               
116: R97         Equity Compensation and Other Benefit Plans -       HTML     58K  
                Restricted Stock Units and Restricted Stock                      
                (Details)                                                        
117: R98         Equity Compensation and Other Benefit Plans -       HTML    113K  
                Restricted Stock Units (Details)                                 
118: R99         Equity Compensation and Other Benefit Plans -       HTML     49K  
                Dividend Equivalents (Details)                                   
119: R100        Equity Compensation and Other Benefit Plans -       HTML     51K  
                Expense Allocation (Details)                                     
120: R101        Equity Compensation and Other Benefit Plans -       HTML     52K  
                Deferred Compensation Plans (Details)                            
121: R102        Equity Compensation and Other Benefit Plans -       HTML     58K  
                Savings Plan (Details)                                           
122: R103        Fair Value of Financial Instruments - Fair Value    HTML     81K  
                Hierarchy (Details)                                              
123: R104        Fair Value of Financial Instruments - Level 3       HTML     54K  
                Assets (Details)                                                 
124: R105        Fair Value of Financial Instruments - Level 3       HTML     53K  
                Liabilities (Details)                                            
125: R106        Fair Value of Financial Instruments - Fair Value    HTML    139K  
                Methodology (Details)                                            
126: R107        Fair Value of Financial Instruments - Carrying      HTML     84K  
                Value vs Fair Value (Details)                                    
127: R108        Fair Value of Financial Instruments - Other Assets  HTML     63K  
                Measured at Fair Value on a Nonrecurring Basis                   
                (Details)                                                        
128: R109        Use of Special Purpose Entities and Variable        HTML     83K  
                Interest Entities - Loan Securitization                          
                Transaction (Details)                                            
129: R110        Use of Special Purpose Entities and Variable        HTML     63K  
                Interest Entities - Narrative (Details)                          
130: R111        Segment Reporting - Summary of Financial            HTML    139K  
                Information (Details)                                            
131: R112        Segment Reporting - Narrative (Details)             HTML     76K  
132: R113        Subsequent Events (Details)                         HTML     58K  
133: R114        Schedule IV - Mortgage Loans on Real Estate         HTML    128K  
                (Details)                                                        
135: XML         IDEA XML File -- Filing Summary                      XML    244K  
138: XML         XBRL Instance -- mfa-20231231_htm                    XML   7.37M  
134: EXCEL       IDEA Workbook of Financial Report Info              XLSX    344K  
16: EX-101.CAL  XBRL Calculations -- mfa-20231231_cal                XML    289K 
17: EX-101.DEF  XBRL Definitions -- mfa-20231231_def                 XML   1.68M 
18: EX-101.LAB  XBRL Labels -- mfa-20231231_lab                      XML   3.04M 
19: EX-101.PRE  XBRL Presentations -- mfa-20231231_pre               XML   2.12M 
15: EX-101.SCH  XBRL Schema -- mfa-20231231                          XSD    381K 
136: JSON        XBRL Instance as JSON Data -- MetaLinks              764±  1.19M  
137: ZIP         XBRL Zipped Folder -- 0001055160-24-000005-xbrl      Zip   1.02M

‘EX-32.1’   —   Certification — §906 – SOA’02

This Exhibit is an HTML Document rendered as filed.  [ Alternative Formats ]

 C:   C: 
  Document  

Exhibit 32.1
 
Certification of Chief Executive Officer
Pursuant to 18 U.S.C. Section 1350, as Adopted
Pursuant to Section 906 of The Sarbanes-Oxley Act of 2002
 
In connection with the annual report on Form 10-K of MFA Financial, Inc. (the “Company”) for the fiscal year ended December 31, 2023 (the “Report”), as filed with the Securities and Exchange Commission on the date hereof, Craig L. Knutson, President and Chief Executive Officer of the Company, hereby certifies, pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes- Oxley Act of 2002, that:

(1) The Report fully complies with the requirements of Section 13(a) or 15(d), as applicable, of the Securities Exchange Act of 1934; and
(2) The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Company.


By:/s/ Craig L. Knutson Date: February 22, 2024
 Name: Craig L. Knutson  
 Title: President and Chief Executive Officer  
 
The foregoing certification is being furnished solely pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, and is not being “filed” as part of the Form 10-K or as a separate disclosure document for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to liability under that section. This certification shall not be deemed to be incorporated by reference to any filing under the Securities Act of 1933, as amended, or the Exchange Act except to the extent that this Exhibit 32.1 is expressly and specifically incorporated by reference in any such filing.




Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘10-K’ Filing    Date    Other Filings
Filed on:2/22/248-K
For Period end:12/31/23
 List all Filings 

4 Subsequent Filings that Reference this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 5/06/24  Mfa Financial, Inc.               10-Q        3/31/24  122:19M
 4/17/24  Mfa Financial, Inc.               8-A12B                 2:204K                                   Toppan Merrill/FA
 4/16/24  Mfa Financial, Inc.               424B5                  2:867K                                   Toppan Merrill/FA
 4/15/24  Mfa Financial, Inc.               424B5                  1:859K                                   Toppan Merrill/FA

25 Previous Filings that this Filing References

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 1/11/24  Mfa Financial, Inc.               8-A12B                 2:207K                                   Toppan Merrill/FA
 6/08/23  Mfa Financial, Inc.               8-K:5,9     6/06/23   12:478K                                   Toppan Merrill/FA
 4/21/23  Mfa Financial, Inc.               8-K:5,9     4/18/23   12:426K                                   Toppan Merrill/FA
 5/04/22  Mfa Financial, Inc.               10-Q        3/31/22  123:17M
 4/04/22  Mfa Financial, Inc.               8-K:5,9     4/01/22   13:271K                                   Toppan Merrill/FA
 2/23/21  Mfa Financial, Inc.               10-K       12/31/20  140:24M
 5/19/20  Mfa Financial, Inc.               8-K:1,5,9   5/15/20   12:358K                                   Toppan Merrill/FA
 2/28/20  Mfa Financial, Inc.               8-A12B                 3:130K                                   Donnelley … Solutions/FA
 6/03/19  Mfa Financial, Inc.               8-K:1,2,9   5/29/19    7:1M                                     Donnelley … Solutions/FA
 8/02/17  Mfa Financial, Inc.               10-Q        6/30/17  102:19M
 8/03/16  Mfa Financial, Inc.               10-Q        6/30/16  104:19M
 2/18/16  Mfa Financial, Inc.               10-K       12/31/15  103:24M
 8/04/14  Mfa Financial, Inc.               10-Q        6/30/14   82:21M
 1/24/14  Mfa Financial, Inc.               8-K:5,9     1/21/14    9:867K                                   Toppan Merrill/FA
 4/15/13  Mfa Financial, Inc.               8-K:3,5,9   4/15/13    5:177K                                   Computershare C… Svcs/FA
 5/26/11  Mfa Financial, Inc.               8-K:3,5,9   5/24/11    2:61K                                    Toppan Merrill/FA
 3/11/11  Mfa Financial, Inc.               8-K:1,5,9   3/08/11    4:289K                                   Toppan Merrill/FA
 1/05/10  Mfa Financial, Inc.               8-K:5,9    12/31/09    5:340K                                   E-Data Systems, Inc./FA
12/29/08  Mfa Financial, Inc.               8-K:5,9    12/29/08    4:179K                                   E-Data Systems, Inc./FA
12/12/08  Mfa Financial, Inc.               8-K:5,9    12/10/08    9:957K                                   E-Data Systems, Inc./FA
 4/23/04  Mfa Financial, Inc.               8-A12B                 3:404K                                   Donnelley … Solutions/FA
10/28/02  Mfa Financial, Inc.               10-Q        9/30/02    5:195K                                   E-Data Systems, Inc./FA
 8/13/02  Mfa Financial, Inc.               8-K:5,7     8/13/02    4:52K                                    Toppan Merrill-FA2/FA
 4/24/98  Mfa Financial, Inc.               8-K:2,7     4/10/98    5:199K                                   Clifford Chance US LLP
 2/12/98  Mfa Financial, Inc.               S-4                   26:1.1M                                   Toppan Merrill-FA
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Filing Submission 0001055160-24-000005   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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