MCADAMS JOSEPH E 4
4 · ANWORTH MORTGAGE ASSET CORP · Filed Mar 12, 2019
Insider Transaction Report
Form 4
MCADAMS JOSEPH E
DirectorExecutive Vice President & CIO
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
- 33,700(indirect: By Foundation)
Common Stock
- 262,096
Common Stock
Footnotes (6)
- [F1]Shares held by the McAdams Foundation. of which Mr. McAdams is a director.
- [F2]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.
- [F3]Immediately exercisable.
- [F4]The Series B Cumulative Convertible Preferred Stock has no expiration date.
- [F5]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 (5) to this Form 4.
- [F6]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 (6) to this Form 4.