SEC Form 5 · accession 0001179110-18-002043
ANWORTH MORTGAGE ASSET CORP · ANH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Heather U Baines
Officer — Executive Vice President
Period of report
Dec 31, 2017
Accepted (ET)
Feb 14, 2018 · 1:14 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001047884
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Dec 31, 2017 | J | 25,834 | — | A | 1,176,788 | D | |
| Common StockF3 | holding | — | — | — | 62,500 | I | By spouse | |
| Common StockF4 | holding | — | — | — | 33,700 | I | McAdams Foundation |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were acquired under the Anworth Mortgage Asset Corporation Dividend Reinvestment and Stock Purchase Plan in exempt transactions pursuant to Rule 16a-11 at the then-current market prices during calendar year 2017.
- F2Ms. Baines owns 41,500 shares individually. The balance of these shares are owned as community property with her spouse.
- F3Ms. Baines' spouse owns 62,500 shares in which Ms. Baines disclaims any beneficial interest.
- F4Shares held by the McAdams Foundation, of which Ms. Baines' spouse is a director.