SEC Form 5 · accession 0001209191-16-095946
ANWORTH MORTGAGE ASSET CORP · ANH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph Lloyd McAdams
Officer — CEO · Director
Period of report
Dec 31, 2015
Accepted (ET)
Feb 5, 2016 · 2:42 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, 2015 | J | 22,316 | — | A | 1,295,410 | D | |
| Common StockF3 | holding | — | — | — | 41,500 | 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 2015.
- F2Mr. McAdams is married to Heather U. Baines, Executive Vice President of Anworth Mortgage Asset Corporation. Mr. McAdams owns 62,500 shares individually. The balance of these shared are owned as community property with Ms. Baines.
- F3Ms. Baines owns 41,500 shares in which Mr. McAdams has no beneficial interests.
- F4Shares held by the McAdams Foundation, of which Mr. McAdams is a director.