Filing Details
- Accession Number:
- 0001181431-11-044686
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-08-09 17:49:22
- Reporting Period:
- 2011-08-09
- Filing Date:
- 2011-08-09
- Accepted Time:
- 2011-08-09 17:49:22
- 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2011-08-09 | 10,000 | $6.55 | 10,000 | No | 4 | P | Indirect | By Marjorie L. Davis Family Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | 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 |
| Series A Cumulative Preferred Stock | 7,000 | Indirect | By Marjorie L. Davis Family Trust |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Unit | $0.00 | 6,000 | 6,000 | Direct | ||
| Common Stock | Series B Cumulative Convertible Preferred Stock | $10.50 | 14,150 | 4,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 6,000 | 6,000 | Direct | |
| 14,150 | 4,000 | Direct |
Footnotes
- Mr. Davis has investment control through a power of attorney for trust transactions for the Marjorie L. Davis Family Trust and is a beneficiary of the Trust.
- Not applicable.
- 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 at an initial conversion rate of 2.3809 shares of Common Stock per $25.00 liquidation preference, which is equivalent to an initial conversion price of $10.50 per share of Common Stock, 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 attached as an exhibit to a Current Report on Form 8-K filed with the Securities and Exchange Commission on January 30, 2007. The current conversion rate reflecting such adjustments is 3.5374.
- Immediately exercisable.
- The Series B Cumulative Convertible Preferred Stock has no expiration date.
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