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 <P STYLE="line-height:1.0pt;margin-top:0pt;margin-bottom:0pt;border-bottom:1px solid #000000">&nbsp;</P>
<P STYLE="line-height:3.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1px solid #000000">&nbsp;</P> <P STYLE="margin-top:4pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>UNITED STATES </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>SECURITIES AND EXCHANGE COMMISSION </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Washington, D.C. 20549 </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>FORM <FONT
STYLE="white-space:nowrap">8-K</FONT> </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>CURRENT
REPORT </B></P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Pursuant to Section 13 or 15(d) </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>of the Securities Exchange Act of 1934 </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Date of Report (Date of earliest event reported): January&nbsp;15, 2019 </B></P>
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<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:24pt; font-family:Times New Roman" ALIGN="center"><B>Chimera Investment Corporation </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>(Exact Name of Registrant as Specified in Its Charter) </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="top" ALIGN="center"><B>Maryland</B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B><FONT STYLE="white-space:nowrap">001-33796</FONT></B></TD>
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<TD VALIGN="top" ALIGN="center"><B><FONT STYLE="white-space:nowrap">26-0630461</FONT></B></TD></TR>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(State or other jurisdiction of</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>incorporation or organization)</B></P></TD>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Commission</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>File Number)</B></P></TD>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(I.R.S. Employer</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Identification No.)</B></P></TD></TR>
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<TD VALIGN="top" COLSPAN="3" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>520 Madison Avenue, 32nd Floor</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>New York, New York</B></P></TD>
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<TD VALIGN="bottom" ALIGN="center"><B>10022</B></TD></TR>
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<TD VALIGN="top" COLSPAN="3" ALIGN="center"><B>(Address of principal executive offices)</B></TD>
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<TD VALIGN="top" ALIGN="center"><B>(Zip Code)</B></TD></TR>
</TABLE> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>(212) <FONT STYLE="white-space:nowrap">626-2300</FONT> </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Registrant&#146;s telephone number, including area code) </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Not Applicable </B></P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Former
name or former address, if changed since last report) </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Check the appropriate box below
if the Form <FONT STYLE="white-space:nowrap">8-K</FONT> filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions: </P>
<P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) </P></TD></TR></TABLE>
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<TD WIDTH="4%" VALIGN="top" ALIGN="left">&#9744;</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Soliciting material pursuant to Rule <FONT STYLE="white-space:nowrap">14a-12</FONT> under the Exchange Act (17
CFR <FONT STYLE="white-space:nowrap">240.14a-12)</FONT> </P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Pre-commencement communications pursuant to Rule <FONT STYLE="white-space:nowrap">14d-2(b)</FONT> under the
Exchange Act (17 CFR <FONT STYLE="white-space:nowrap">240.14d-2(b))</FONT> </P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%" VALIGN="top" ALIGN="left">&#9744;</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Pre-commencement communications pursuant to Rule <FONT STYLE="white-space:nowrap">13e-4(c)</FONT> under the
Exchange Act (17 CFR <FONT STYLE="white-space:nowrap">240.13e-4(c))</FONT> </P></TD></TR></TABLE> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Indicate by check mark whether the registrant is an emerging
growth company as defined in Rule 405 of the Securities Act of 1933 or Rule <FONT STYLE="white-space:nowrap">12b-2</FONT> of the Securities Exchange Act of 1934. </P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Emerging growth company&nbsp;&nbsp;&#9744; </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">If an emerging
growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section&nbsp;13(a) of the Exchange
Act.&nbsp;&nbsp;&#9744; </P> <P STYLE="font-size:10pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P> <P STYLE="line-height:1.0pt;margin-top:0pt;margin-bottom:0pt;border-bottom:1px solid #000000">&nbsp;</P>
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Item&nbsp;1.01. Entry into a Material Definitive Agreement. </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">On January&nbsp;15, 2019, Chimera Investment Corporation (the &#147;Company&#148;) entered into an underwriting agreement (the
&#147;Underwriting Agreement&#148;) with Morgan Stanley&nbsp;&amp; Co. LLC, RBC Capital Markets, LLC, UBS Securities LLC, Wells Fargo Securities, LLC, J.P.&nbsp;Morgan Securities LLC and Keefe, Bruyette&nbsp;&amp; Woods, Inc., as representatives of
the several underwriters named therein (collectively, the &#147;Underwriters&#148;), pursuant to which the Company agreed to offer and sell 7,400,000 shares of its 8.00% Series&nbsp;D
<FONT STYLE="white-space:nowrap"><FONT STYLE="white-space:nowrap">Fixed-to-Floating</FONT></FONT> Rate Cumulative Redeemable Preferred Stock, $0.01 par value per share (the &#147;Series&nbsp;D Preferred Stock&#148;), at a public offering price of
$25.00 per share (the &#147;Preferred Stock Offering&#148;). The Underwriters were granted an option to purchase up to an additional 1,110,000 shares of Series&nbsp;D Preferred Stock to cover over-allotments, if any, bringing the total number of
shares of Series&nbsp;D Preferred Stock that may be issued in the Preferred Stock Offering to 8,510,000 shares of Series&nbsp;D Preferred Stock. In the Underwriting Agreement, the Company made certain customary representations, warranties and
covenants and agreed to indemnify the Underwriters against certain liabilities, including liabilities under the Securities Act of 1933, as amended. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Preferred Stock Offering is expected to close on January&nbsp;23, 2019, subject to customary closing conditions, and will result in
estimated net proceeds, after deducting underwriting discounts and commissions and estimated offering expenses payable by the Company, of approximately $178.9&nbsp;million (or approximately $205.7&nbsp;million if the Underwriters exercise their
over-allotment option in full). </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">This description of the material terms of the Underwriting Agreement is qualified in its entirety by
reference to the Underwriting Agreement, which is filed as Exhibit&nbsp;1.1 to this Current Report on <FONT STYLE="white-space:nowrap">Form&nbsp;8-K</FONT> and is hereby incorporated by reference into this Item&nbsp;1.01. </P>
<P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Item&nbsp;3.03. Material Modifications to Rights of Security Holders. </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">On January&nbsp;17, 2019, the Company filed, with the State Department of Assessments and Taxation of the State of Maryland (the
&#147;SDAT&#148;), Articles Supplementary (the &#147;Articles Supplementary&#148;) to the Articles of Amendment and Restatement of the Company (the &#147;Charter&#148;) classifying and designating 8,510,000 shares of the Company&#146;s authorized
preferred stock, $0.01 par value per share, as the Series&nbsp;D Preferred Stock, with the powers, designations, preferences and other rights as set forth therein. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Articles Supplementary, among other things, provide that the Company will pay cumulative cash dividends on the Series&nbsp;D Preferred
Stock when and as declared by the Company&#146;s Board of Directors. The initial dividend rate for the Series D Preferred Stock, from and including January&nbsp;23, 2019, to but not including March&nbsp;30, 2024, will be equal to 8.00% per annum of
the $25.00 liquidation preference per share (equivalent to the fixed annual rate of $2.00 per share). On and after March&nbsp;30, 2024, dividends on the Series&nbsp;D Preferred Stock will accumulate at a percentage of the $25.00 liquidation
preference equal to an annual floating rate of the three-month LIBOR plus a spread of 5.379% per annum. Dividends on the Series D Preferred Stock will be payable quarterly in arrears on the
30<SUP STYLE="font-size:85%; vertical-align:top">th</SUP>&nbsp;day of each March, June, September and December, when and as declared, beginning on June&nbsp;30, 2019 (provided that if any dividend payment date is not a business day, then the
dividend which would otherwise have been payable on that dividend payment date may be paid on the next succeeding business day). </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The
Series D Preferred Stock ranks senior to the Company&#146;s common stock, $0.01 par value per share (&#147;Common Stock&#148;), with respect to the payment of dividends and rights upon the voluntary or involuntary liquidation, dissolution or winding
up of the Company. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Series&nbsp;D Preferred Stock will not be redeemable before March&nbsp;30, 2024, except under certain limited
circumstances intended to preserve the Company&#146;s qualification as a real estate investment trust (&#147;REIT&#148;) and except upon the occurrence of a Change of Control (as defined in the Articles Supplementary). On or after March&nbsp;30,
2024, the Company may, at its option, redeem, in whole or in part, at any time or from time to time, the Series&nbsp;D Preferred Stock at redemption price of $25.00 per share, plus any accumulated and unpaid dividends thereon (whether or not
authorized or declared) to, but excluding, the redemption date. In addition, upon the occurrence of a Change of Control, the Company may, at its option, redeem some or all of the shares of Series&nbsp;D Preferred Stock, in whole or in part, within
120&nbsp;days after the first date on which such Change of Control occurred at $25.00 per share plus any accumulated and unpaid dividends to, but excluding, the redemption date. The Series D Preferred Stock has no stated maturity, is not subject to
any sinking fund or mandatory redemption and will remain outstanding indefinitely unless repurchased or redeemed by the Company or converted into Common Stock in connection with a Change of Control by the holders of Series&nbsp;D Preferred Stock.
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Upon the occurrence of a Change of Control, each holder of Series&nbsp;D Preferred Stock
will have the right (subject to the Company&#146;s election to redeem the Series&nbsp;D Preferred Stock in whole or in part, as described above, prior to the Change of Control Conversion Date (as defined in the Articles Supplementary)) to convert
some or all of the Series&nbsp;D Preferred Stock held by such holder on the Change of Control Conversion Date into a number of shares of the Common Stock per share of Series&nbsp;D Preferred Stock determined by formula, in each case, on the terms
and subject to the conditions described in the Articles Supplementary, including provisions for the receipt, under specified circumstances, of alternative consideration. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">There are restrictions on ownership of the Series&nbsp;D<B> </B>Preferred Stock intended to preserve the Company&#146;s qualification as a
REIT. Holders of Series D Preferred Stock generally have no voting rights, but have limited voting rights if the Company fails to pay dividends for six or more full quarterly dividend periods (whether or not consecutive) and under certain other
circumstances. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">A copy of the Articles Supplementary and Form of Series D Preferred Stock Certificate are filed as Exhibits&nbsp;3.2 and
4.1, respectively, to this Current Report on <FONT STYLE="white-space:nowrap">Form&nbsp;8-K</FONT> and incorporated herein by reference. The description of the terms of the Articles Supplementary in this Item&nbsp;3.03 is qualified in its entirety
by reference to Exhibit&nbsp;3.2. </P> <P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Item&nbsp;5.03. Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year. </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">On January&nbsp;17, 2019, the Company filed (a)&nbsp;the Articles Supplementary and (b)&nbsp;Articles of Amendment (the &#147;Amendment&#148;)
to the Charter with the SDAT. The Amendment increases the number of shares of Common Stock authorized to be issued from 300,000,000 to 500,000,000 shares. The Amendment became effective upon its filing with the SDAT. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The information about the Articles Supplementary set forth under Item 3.03 of this Current Report on Form
<FONT STYLE="white-space:nowrap">8-K</FONT> is hereby incorporated by reference into this Item 5.03. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">A copy of the Amendment is filed as
Exhibit 3.1 to this Current Report on Form <FONT STYLE="white-space:nowrap">8-K</FONT> and incorporated herein by reference. The description of the terms of the Amendment in this Item 3.03 is qualified in its entirety by reference to Exhibit 3.1.
</P> <P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Item&nbsp;9.01. Financial Statements and Exhibits. </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="bottom" NOWRAP ALIGN="center"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; border-bottom:1.00pt solid #000000; display:table-cell; font-size:8pt; font-family:Times New Roman; " ALIGN="center"><B>Exhibit<BR>No.</B></P></TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="bottom" NOWRAP ALIGN="center"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; border-bottom:1.00pt solid #000000; display:table-cell; font-size:8pt; font-family:Times New Roman; " ALIGN="center"><B>Description</B></P></TD></TR>


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<TD VALIGN="top" NOWRAP>&nbsp;&nbsp;1.1</TD>
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<TD VALIGN="top"><A HREF="d680582dex11.htm">Underwriting Agreement, dated January&nbsp;15, 2019, by and among Chimera Investment Corporation and the several Underwriters listed on Schedule&nbsp;A attached thereto. </A></TD></TR>
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<TD VALIGN="top" NOWRAP>&nbsp;&nbsp;3.1</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top"><A HREF="http://www.sec.gov/Archives/edgar/data/1409493/000119312519011527/d683733dex36.htm">Articles of Amendment of Chimera Investment Corporation (filed with the SEC as Exhibit&nbsp;
3.6 to the Registrant&#146;s Registration Statement on Form <FONT STYLE="white-space:nowrap">8-A</FONT> filed on January&nbsp;17, 2019 and incorporated herein by reference). </A></TD></TR>
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<TD VALIGN="top" NOWRAP>&nbsp;&nbsp;3.2</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top"><A HREF="http://www.sec.gov/Archives/edgar/data/1409493/000119312519011527/d683733dex310.htm">Articles Supplementary to the Articles of Amendment and Restatement of Chimera Investment Corporation designating the Company&#146;s 8.00% Series&nbsp;D
<FONT STYLE="white-space:nowrap"><FONT STYLE="white-space:nowrap">Fixed-to-Floating</FONT></FONT> Rate Cumulative Redeemable Preferred Stock, $0.01 par value per share (filed with the SEC as Exhibit 3.10 to the Registrant&#146;s Registration
Statement on <FONT STYLE="white-space:nowrap">Form&nbsp;8-A</FONT> filed on January&nbsp;17, 2019 and incorporated herein by reference). </A></TD></TR>
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<TD VALIGN="top" NOWRAP>&nbsp;&nbsp;4.1</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top"><A HREF="http://www.sec.gov/Archives/edgar/data/1409493/000119312519011527/d683733dex41.htm">Form of Series D Preferred Stock Certificate (filed with the SEC as Exhibit 4.1 to the Registrant&#146;s Registration Statement on Form <FONT
STYLE="white-space:nowrap">8-A</FONT> filed on January&nbsp;17, 2019 and incorporated herein by reference). </A></TD></TR>
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<TD VALIGN="top" NOWRAP>&nbsp;&nbsp;5.1</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top"><A HREF="d680582dex51.htm">Opinion of Venable LLP, dated January&nbsp;18, 2019, regarding the legality of the 8.00% Series&nbsp;
D <FONT STYLE="white-space:nowrap"><FONT STYLE="white-space:nowrap">Fixed-to-Floating</FONT></FONT> Rate Cumulative Redeemable Preferred Stock. </A></TD></TR>
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<TD VALIGN="top" NOWRAP>23.1</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top"><A HREF="d680582dex51.htm">Consent of Venable LLP (included in Exhibit&nbsp;5.1 hereto). </A></TD></TR>
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<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned
thereunto duly authorized. </P> <P STYLE="font-size:18pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="top" COLSPAN="3"><B>CHIMERA&nbsp;INVESTMENT&nbsp;CORPORATION</B></TD></TR>
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<TD VALIGN="top">Date:&nbsp;January&nbsp;18,&nbsp;2019</TD>
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<TD VALIGN="top">By:</TD>
<TD VALIGN="bottom" STYLE=" BORDER-BOTTOM:1px solid #000000">&nbsp;</TD>
<TD VALIGN="top" STYLE="BORDER-BOTTOM:1px solid #000000">&nbsp;&nbsp;&nbsp;&nbsp;/s/&nbsp;Rob&nbsp;Colligan</TD></TR>
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<TD VALIGN="top">Name: Rob Colligan</TD></TR>
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<TD VALIGN="bottom">&nbsp;</TD>
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<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom">Title:&nbsp;Chief&nbsp;Financial&nbsp;Officer</TD></TR>
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[{"type": "8-K", "sequence": "1", "filename": "d680582d8k.htm", "description": "FORM 8-K", "secsgml_size_bytes": 27614}]
{"company-data": {"conformed-name": "CHIMERA INVESTMENT CORP", "cik": "0001409493", "assigned-sic": "6798", "irs-number": "260630461", "state-of-incorporation": "MD", "fiscal-year-end": "1231"}, "filing-values": {"form-type": "8-K", "act": "34", "file-number": "001-33796", "film-number": "19533448"}, "business-address": {"street1": "520 MADISON AVENUE", "street2": "32ND FLOOR", "city": "NEW YORK", "state": "NY", "zip": "10022", "phone": "212-626-2300"}, "mail-address": {"street1": "520 MADISON AVENUE", "street2": "32ND FLOOR", "city": "NEW YORK", "state": "NY", "zip": "10022"}}
Form 8-K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): January 15, 2019
Chimera Investment Corporation
(Exact Name of Registrant as Specified in Its Charter)
Maryland
001-33796
26-0630461
(State or other jurisdiction of
incorporation or organization)
(Commission
File Number)
(I.R.S. Employer
Identification No.)
520 Madison Avenue, 32nd Floor
New York, New York
10022
(Address of principal executive offices)
(Zip Code)
(212)
626-2300
(Registrant's telephone number, including area code)
Not Applicable
(Former
name or former address, if changed since last report)
Check the appropriate box below
if the Form
8-K
filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐
Soliciting material pursuant to Rule
14a-12
under the Exchange Act (17
CFR
240.14a-12)
☐
Pre-commencement communications pursuant to Rule
14d-2(b)
under the
Exchange Act (17 CFR
240.14d-2(b))
☐
Pre-commencement communications pursuant to Rule
13e-4(c)
under the
Exchange Act (17 CFR
240.13e-4(c))
Indicate by check mark whether the registrant is an emerging
growth company as defined in Rule 405 of the Securities Act of 1933 or Rule
12b-2
of the Securities Exchange Act of 1934.
Emerging growth company  ☐
If an emerging
growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange
Act.  ☐
Item 1.01. Entry into a Material Definitive Agreement.
On January 15, 2019, Chimera Investment Corporation (the "Company") entered into an underwriting agreement (the
"Underwriting Agreement") with Morgan Stanley & Co. LLC, RBC Capital Markets, LLC, UBS Securities LLC, Wells Fargo Securities, LLC, J.P. Morgan Securities LLC and Keefe, Bruyette & Woods, Inc., as representatives of
the several underwriters named therein (collectively, the "Underwriters"), pursuant to which the Company agreed to offer and sell 7,400,000 shares of its 8.00% Series D
Fixed-to-Floating
Rate Cumulative Redeemable Preferred Stock, $0.01 par value per share (the "Series D Preferred Stock"), at a public offering price of
$25.00 per share (the "Preferred Stock Offering"). The Underwriters were granted an option to purchase up to an additional 1,110,000 shares of Series D Preferred Stock to cover over-allotments, if any, bringing the total number of
shares of Series D Preferred Stock that may be issued in the Preferred Stock Offering to 8,510,000 shares of Series D Preferred Stock. In the Underwriting Agreement, the Company made certain customary representations, warranties and
covenants and agreed to indemnify the Underwriters against certain liabilities, including liabilities under the Securities Act of 1933, as amended.
The Preferred Stock Offering is expected to close on January 23, 2019, subject to customary closing conditions, and will result in
estimated net proceeds, after deducting underwriting discounts and commissions and estimated offering expenses payable by the Company, of approximately $178.9 million (or approximately $205.7 million if the Underwriters exercise their
over-allotment option in full).
This description of the material terms of the Underwriting Agreement is qualified in its entirety by
reference to the Underwriting Agreement, which is filed as Exhibit 1.1 to this Current Report on
Form 8-K
and is hereby incorporated by reference into this Item 1.01.
Item 3.03. Material Modifications to Rights of Security Holders.
On January 17, 2019, the Company filed, with the State Department of Assessments and Taxation of the State of Maryland (the
"SDAT"), Articles Supplementary (the "Articles Supplementary") to the Articles of Amendment and Restatement of the Company (the "Charter") classifying and designating 8,510,000 shares of the Company's authorized
preferred stock, $0.01 par value per share, as the Series D Preferred Stock, with the powers, designations, preferences and other rights as set forth therein.
The Articles Supplementary, among other things, provide that the Company will pay cumulative cash dividends on the Series D Preferred
Stock when and as declared by the Company's Board of Directors. The initial dividend rate for the Series D Preferred Stock, from and including January 23, 2019, to but not including March 30, 2024, will be equal to 8.00% per annum of
the $25.00 liquidation preference per share (equivalent to the fixed annual rate of $2.00 per share). On and after March 30, 2024, dividends on the Series D Preferred Stock will accumulate at a percentage of the $25.00 liquidation
preference equal to an annual floating rate of the three-month LIBOR plus a spread of 5.379% per annum. Dividends on the Series D Preferred Stock will be payable quarterly in arrears on the
30
th
day of each March, June, September and December, when and as declared, beginning on June 30, 2019 (provided that if any dividend payment date is not a business day, then the
dividend which would otherwise have been payable on that dividend payment date may be paid on the next succeeding business day).
The
Series D Preferred Stock ranks senior to the Company's common stock, $0.01 par value per share ("Common Stock"), with respect to the payment of dividends and rights upon the voluntary or involuntary liquidation, dissolution or winding
up of the Company.
The Series D Preferred Stock will not be redeemable before March 30, 2024, except under certain limited
circumstances intended to preserve the Company's qualification as a real estate investment trust ("REIT") and except upon the occurrence of a Change of Control (as defined in the Articles Supplementary). On or after March 30,
2024, the Company may, at its option, redeem, in whole or in part, at any time or from time to time, the Series D Preferred Stock at redemption price of $25.00 per share, plus any accumulated and unpaid dividends thereon (whether or not
authorized or declared) to, but excluding, the redemption date. In addition, upon the occurrence of a Change of Control, the Company may, at its option, redeem some or all of the shares of Series D Preferred Stock, in whole or in part, within
120 days after the first date on which such Change of Control occurred at $25.00 per share plus any accumulated and unpaid dividends to, but excluding, the redemption date. The Series D Preferred Stock has no stated maturity, is not subject to
any sinking fund or mandatory redemption and will remain outstanding indefinitely unless repurchased or redeemed by the Company or converted into Common Stock in connection with a Change of Control by the holders of Series D Preferred Stock.
Upon the occurrence of a Change of Control, each holder of Series D Preferred Stock
will have the right (subject to the Company's election to redeem the Series D Preferred Stock in whole or in part, as described above, prior to the Change of Control Conversion Date (as defined in the Articles Supplementary)) to convert
some or all of the Series D Preferred Stock held by such holder on the Change of Control Conversion Date into a number of shares of the Common Stock per share of Series D Preferred Stock determined by formula, in each case, on the terms
and subject to the conditions described in the Articles Supplementary, including provisions for the receipt, under specified circumstances, of alternative consideration.
There are restrictions on ownership of the Series D
Preferred Stock intended to preserve the Company's qualification as a
REIT. Holders of Series D Preferred Stock generally have no voting rights, but have limited voting rights if the Company fails to pay dividends for six or more full quarterly dividend periods (whether or not consecutive) and under certain other
circumstances.
A copy of the Articles Supplementary and Form of Series D Preferred Stock Certificate are filed as Exhibits 3.2 and
4.1, respectively, to this Current Report on
Form 8-K
and incorporated herein by reference. The description of the terms of the Articles Supplementary in this Item 3.03 is qualified in its entirety
by reference to Exhibit 3.2.
Item 5.03. Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.
On January 17, 2019, the Company filed (a) the Articles Supplementary and (b) Articles of Amendment (the "Amendment")
to the Charter with the SDAT. The Amendment increases the number of shares of Common Stock authorized to be issued from 300,000,000 to 500,000,000 shares. The Amendment became effective upon its filing with the SDAT.
The information about the Articles Supplementary set forth under Item 3.03 of this Current Report on Form
8-K
is hereby incorporated by reference into this Item 5.03.
A copy of the Amendment is filed as
Exhibit 3.1 to this Current Report on Form
8-K
and incorporated herein by reference. The description of the terms of the Amendment in this Item 3.03 is qualified in its entirety by reference to Exhibit 3.1.
Item 9.01. Financial Statements and Exhibits.
Exhibit
No.
Description
1.1
Underwriting Agreement, dated January 15, 2019, by and among Chimera Investment Corporation and the several Underwriters listed on Schedule A attached thereto.
3.1
Articles of Amendment of Chimera Investment Corporation (filed with the SEC as Exhibit 
3.6 to the Registrant's Registration Statement on Form
8-A
filed on January 17, 2019 and incorporated herein by reference).
3.2
Articles Supplementary to the Articles of Amendment and Restatement of Chimera Investment Corporation designating the Company's 8.00% Series D
Fixed-to-Floating
Rate Cumulative Redeemable Preferred Stock, $0.01 par value per share (filed with the SEC as Exhibit 3.10 to the Registrant's Registration
Statement on
Form 8-A
filed on January 17, 2019 and incorporated herein by reference).
4.1
Form of Series D Preferred Stock Certificate (filed with the SEC as Exhibit 4.1 to the Registrant's Registration Statement on Form
8-A
filed on January 17, 2019 and incorporated herein by reference).
5.1
Opinion of Venable LLP, dated January 18, 2019, regarding the legality of the 8.00% Series 
D
Fixed-to-Floating
Rate Cumulative Redeemable Preferred Stock.
23.1
Consent of Venable LLP (included in Exhibit 5.1 hereto).
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned
thereunto duly authorized.
CHIMERA INVESTMENT CORPORATION
Date: January 18, 2019
By:
/s/ Rob Colligan
Name: Rob Colligan
Title: Chief Financial Officer