SEC Form 4 · accession 0000899243-18-025792
Arlington Asset Investment Corp. · AI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Benjamin J. Strickler
Officer — See Remarks
Period of report
Sep 28, 2018
Accepted (ET)
Oct 2, 2018 · 4:30 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001209028
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Sep 28, 2018 | A | 13,000 | $0.00 | A | 28,955 | D | |
| Class A Common StockF2,F3 | Sep 28, 2018 | F | 2,462 | $9.34 | D | 26,493 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 13,000 restricted shares of Class A common stock granted on September 28, 2018 ("Restricted Stock") pursuant to the Arlington Asset Investment Corp. 2014 Long-Term Incentive Plan.
- F2Represents shares withheld by the issuer and forfeited by the recipient to satisfy a tax withholding obligation in connection with a vesting on September 28, 2018 of previously-granted Restricted Stock awards.
- F3The last reported sale price of the Company's Class A common stock on the New York Stock Exchange on the date of vesting.
Remarks
Vice President, Chief Accounting Officer and Controller