SEC Form 4 · accession 0001179110-18-009478
ANWORTH MORTGAGE ASSET CORP · ANH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Craig Davis
Director
Period of report
Jul 2, 2018
Accepted (ET)
Jul 5, 2018 · 4:08 pm EDT
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 Stock | holding | — | — | — | 40,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF3,F1,F2 | — | Jul 2, 2018 | A | 2,000 | A | — | — | Common Stock | 2,000 | 20,000 | D |
| Series B Cumulative Convertible Preferred StockF4,F5,F6 | $10.50 | holding | — | — | — | — | — | Common Stock | 20,408 | 4,000 | D |
Explanation of responses
- F11-for-1.
- F2The Restricted Stock Units vest upon the reporting person's retirement from the board of directors.
- F3Granted to the reporting person for his continued service on the board of directors.
- F4The Series B Cumulative Convertible Preferred Stock is convertible into shares of Anworth Mortgage Asset Corporation common stock initially at a conversion price per share of $10.50, subject to adjustment upon the occurrence of certain events specified in the Articles Supplementary for Series B Cumulative Convertible Preferred Stock, a copy of which was filed as an exhibit to a Current Report on Form 8-K filed with the Securities and Exchange Commission on January 30, 2007. The current conversion price reflecting such adjustment is 5.1021 per share.
- F5Immediately exercisable.
- F6The Series B Cumulative Convertible Preferred Stock has no expiration date.