SEC Form 4 · accession 0001209191-15-078690
ANWORTH MORTGAGE ASSET CORP · ANH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lee A Ault III
Director
Period of report
Nov 5, 2015
Accepted (ET)
Nov 5, 2015 · 4:14 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 Stock | Nov 5, 2015 | P | 21,341 | $4.66 | A | 63,341 | D | |
| Common Stock | Nov 5, 2015 | P | 1,628 | $4.66 | A | 64,969 | D | |
| Common Stock | Nov 5, 2015 | P | 201 | $4.66 | A | 65,170 | D | |
| Common Stock | Nov 5, 2015 | P | 100 | $4.66 | A | 65,270 | D | |
| Common Stock | Nov 5, 2015 | P | 6,330 | $4.66 | A | 71,600 | D | |
| Common Stock | Nov 5, 2015 | P | 400 | $4.66 | A | 72,000 | D | |
| Common Stock | Nov 5, 2015 | P | 11,000 | $4.66 | A | 83,000 | 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 UnitF1,F2 | — | holding | — | — | — | — | — | Common Stock | 14,000 | 14,000 | D |
Explanation of responses
- F11-for-1.
- F2The Restricted Stock Units vest upon the reporting person's retirement from the board of directors.