Filing Details
- Accession Number:
- 0001181431-14-035168
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-10-31 17:05:16
- Reporting Period:
- 2014-10-27
- Filing Date:
- 2014-10-31
- Accepted Time:
- 2014-10-31 17:05:16
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1047884 | Anworth Mortgage Asset Corp | ANH | Real Estate Investment Trusts (6798) | 522059785 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1330540 | Craig Robert Davis | C/O Anworth Mortgage Asset Corporation 1299 Ocean Avenue, Second Floor Santa Monica CA 90401 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Series A Cumulative Preferred Stock | Disposition | 2014-10-27 | 7,000 | $25.20 | 0 | No | 4 | S | Indirect | By Marjorie L. Davis Family Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | By Marjorie L. Davis Family Trust |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 10,000 | Direct | |
| Common Stock | 10,000 | Indirect | By spouse |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Unit | $0.00 | 12,000 | 12,000 | Direct | ||
| Common Stock | Series B Cumulative Convertible Preferred Stock | $10.50 | 16,608 | 4,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 12,000 | 12,000 | Direct | |
| 16,608 | 4,000 | Direct |
Footnotes
- Mr. Davis is a beneficiary of the Trust.
- 1-for1.
- The Restricted Stock Units vest upon the reporting person's retirement from the board of directors.
- The Series B Cumulative Convertible Preferred Stock is convertible into Anworth Mortgage Asset Corporation common stock initially at a conversion rate of 2.3809, subject to adjustment upon the occurrence of certain events specified in the Articles Supplementary for Series B Cumulative Convertible Preferred Stock, a copy of which was filed as an exhibit to a Current Report on Form 8-K with the Securities and Exchange Commission on January 30, 2007. The current conversion rate reflecting such adjustments is 4.1519.
- Immediately exercisable.
- The Series B Cumulative Convertible Preferred Stock has no expiration date.
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