SEC Form 4 · accession 0001144204-16-133384
Arlington Asset Investment Corp. · AI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Rock Tonkel Jr.
Officer — President and CEO · Director
Period of report
Nov 9, 2016
Accepted (ET)
Nov 10, 2016 · 5:07 pm EST
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 | Nov 9, 2016 | J | 14,000 | $0.00 | A | 331,320 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class B Common StockF1,F2 | — | Nov 9, 2016 | J | 14,000 | D | — | — | Class A Common Stock | 14,000 | 0 | D |
Explanation of responses
- F1Reflects an exchange, on a one-for-one basis, of all of Mr. Tonkel's Class B Common Stock, par value $0.01 per share, for shares of the Company's Class A common stock, par value $0.01 per share, pursuant to an exchange agreement executed between Mr. Tonkel and Arlington Asset Investment Corp.
- F2The Class B Common Stock was convertible in Class A Common Stock at any time on a one-for-one basis and had no expiration date.