ANWORTH MORTGAGE ASSET CORP 4

4 · ANWORTH MORTGAGE ASSET CORP · Filed Jul 1, 2013

Form 4

Period: 2013-07-01

Director

Transactions

Award
Restricted Stock Unit
2013-07-01−2,000→ 10,000 total
→ Common Stock (2,000 underlying)

Holdings

Common Stock
10,000
Series A Cumulative Preferred Stock
(indirect: By Trust)
7,000
Series B Cumulative Convertible Preferred Stock
Exercise: $10.50→ Common Stock (15,478 underlying)
4,000
Common Stock
(indirect: By Spouse)
10,000

Footnotes (7)

[F1]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.
[F2]1-for1.
[F3]The Restricted Stock Units vest upon the reporting person's retirement from the board of directors.
[F4]Granted to the reporting person in consideration for their continued service on the board of directors.
[F5]The Series B Cumulative Convertible Preferred Stock is convertible into Anworth Mortgage Asset Corporation common stock initially at a conversion price per share 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 Securities and Exchange Commission on January 30, 2007. The current conversion price reflecting such adjustments is $3.8695 per share.
[F6]Immediately exercisable.
[F7]The Series B Cumulative Convertible Preferred Stock has no expiration date.

Documents

1 file