SEC Form 4 · accession 0001209191-16-130383
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
Jul 1, 2016
Accepted (ET)
Jul 1, 2016 · 12:24 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 | — | — | — | 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 UnitF3,F1,F2 | — | Jul 1, 2016 | A | 2,000 | A | — | — | Common Stock | 2,000 | 16,000 | 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.