4//SEC Filing
BAINES HEATHER U 4
Accession 0001181431-10-063978
CIK 0001047884other
Filed
Dec 28, 7:00 PM ET
Accepted
Dec 29, 12:58 PM ET
Size
18.1 KB
Accession
0001181431-10-063978
Insider Transaction Report
Form 4
BAINES HEATHER U
Executive Vice President
Transactions
- Other
Stock Option (right to buy)
2010-12-27−99,500→ 0 total(indirect: By Spouse)Exercise: $13.80From: 2003-05-01Exp: 2013-05-01→ Common Stock (99,500 underlying) - Award
Common Stock
2010-12-29+59,844→ 1,092,067 total - Other
Stock Option (right to buy)
2010-12-27−29,725→ 0 total(indirect: By Spouse)Exercise: $9.45From: 2002-01-21Exp: 2012-01-21→ Common Stock (29,725 underlying) - Other
Stock Option (right to buy)
2010-12-27−90,000→ 0 total(indirect: By Spouse)Exercise: $11.20From: 2002-10-04Exp: 2012-10-04→ Common Stock (90,000 underlying)
Holdings
- 27,600
Stock Option (right to buy)
Exercise: $13.80From: 2003-05-01Exp: 2013-05-01→ Common Stock (27,600 underlying) - 62,500(indirect: By Spouse)
Common Stock
- 43,780
Stock Option (right to buy)
Exercise: $9.45From: 2002-01-21Exp: 2012-01-21→ Common Stock (43,780 underlying) - 21,000
Stock Option (right to buy)
Exercise: $11.20From: 2002-10-04Exp: 2012-10-04→ Common Stock (21,000 underlying) - 33,700(indirect: By Spouse)
Common Stock
Footnotes (7)
- [F1]These shares were granted pursuant to the Anworth Mortgage Asset Corporation 2004 Equity Compensation Plan and the Employment Agreement for Mr. Lloyd McAdams, Chairman, President and Chief Executive Officer of Anworth Mortgage Asset Corporation, who is married to Heather U. Baines, in consideration for services rendered by Mr. McAdams.
- [F2]Ms. Baines is married to Lloyd McAdams, Chairman, President and Chief Executive Officer of Anworth Mortgage Asset Corporation. Ms. Baines owns 41,500 shares individually. The balance of these shares are owned as community property with Mr. McAdams.
- [F3]Mr. McAdams owns 62,500 shares in which Ms. Baines disclaims any beneficial interest in.
- [F4]Shares held by the McAdams Foundation, of which Mr. McAdams is a director.
- [F5]This grant of stock options awarded on January 21, 2002 to Mr. McAdams was willfully surrendered for cancellation by Mr. McAdams without any consideration received by Mr. McAdams.
- [F6]This grant of stock options awarded on October 4, 2002 to Mr. McAdams was willfully surrendered for cancellation by Mr. McAdams without any consideration received by Mr. McAdams.
- [F7]This grant of stock options awarded on May 1, 2003 to Mr. McAdams was willfully surrendered for cancellation by Mr. McAdams without any consideration received by Mr. McAdams.
Documents
Issuer
ANWORTH MORTGAGE ASSET CORP
CIK 0001047884
Entity typeother
Related Parties
1- filerCIK 0001209604
Filing Metadata
- Form type
- 4
- Filed
- Dec 28, 7:00 PM ET
- Accepted
- Dec 29, 12:58 PM ET
- Size
- 18.1 KB