SEC Form 5 · accession 0001181431-15-001677
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, 2014
Accepted (ET)
Jan 30, 2015 · 11:56 am 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, 2014 | J | 16,800 | — | A | 1,252,094 | D | |
| Common StockF3 | holding | — | — | — | 62,500 | I | By spouse | |
| Common StockF4 | holding | — | — | — | 33,700 | I | By spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were acquired under Anworth Mortgage Asset Corporation's Dividend Reinvestment and Stock Purchase Plan, in exempt transactions pursuant to Rule 16a-11, at the then-current market prices during calendar year 2014.
- F2Ms. Baines is married to Lloyd McAdams, Chairman, President and Chief Executive Officer of Anworth Mortgage Asset Corporation. Ms. Baines owns 41,500 shares individually. The balance of these shares are owned as community property with Mr. McAdams.
- F3Mr. McAdams owns 62,500 shares in which Ms. Baines has no beneficial interests.
- F4Shares held by the McAdams Foundation, of which Mr. McAdams is a director.