4//SEC Filing
MCADAMS JOSEPH LLOYD 4
Accession 0001179110-19-003739
CIK 0001047884other
Filed
Mar 11, 8:00 PM ET
Accepted
Mar 12, 4:20 PM ET
Size
11.9 KB
Accession
0001179110-19-003739
Insider Transaction Report
Form 4
MCADAMS JOSEPH LLOYD
DirectorChairman, President & CEO
Transactions
- Purchase
Series B Cumulative Convertible Preferred Stock
2019-03-08$23.41/sh+3,500$81,935→ 3,500 total(indirect: By Foundation)Exercise: $10.50→ Common Stock (18,406 underlying) - Purchase
Series B Cumulative Convertible Preferred Stock
2019-03-11$23.21/sh+3,200$74,272→ 6,700 total(indirect: By Foundation)Exercise: $10.50→ Common Stock (16,828 underlying)
Holdings
- 41,500(indirect: By Spouse)
Common Stock
- 33,700(indirect: By Foundation)
Common Stock
- 1,285,903
Common Stock
Footnotes (8)
- [F1]Mr. McAdams owns 62,500 shares individually. The balance of these shares are owned as community property with his spouse.
- [F2]Mr. McAdams' spouse owns 41,500 shares in which Mr. McAdams disclaims any beneficial interest.
- [F3]Shares held by the McAdams Foundation, of which Mr. McAdams is a director.
- [F4]The Series B Cumulative Convertible Preferred Stock is convertible into shares of Anworth Mortgage Asset Corporation common stock initially at a conversion price of $10.50, 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 U.S. Securities and Exchange Commission on January 30, 2007.
- [F5]Immediately exercisable.
- [F6]The Series B Cumulative Convertible Preferred Stock has no expiration date.
- [F7]This price reported in Column 8 is the weighted average price of the 3,500 shares purchased by the McAdams Foundation on March 8, 2019 in multiple transactions in the open market at prices ranging from $23.41 to $23.45, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the price range set forth in this footnote (7) to this Form 4.
- [F8]This price reported in Column 8 is the weighted average price of the 3,200 shares purchased by the McAdams Foundation on March 11, 2019 in multiple transactions in the open market at prices ranging from $22.88 to $23.61, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the price range set forth in this footnote (8) to this Form 4.
Documents
Issuer
ANWORTH MORTGAGE ASSET CORP
CIK 0001047884
Entity typeother
Related Parties
1- filerCIK 0001209599
Filing Metadata
- Form type
- 4
- Filed
- Mar 11, 8:00 PM ET
- Accepted
- Mar 12, 4:20 PM ET
- Size
- 11.9 KB