ANWORTH MORTGAGE ASSET CORP 4
4 · ANWORTH MORTGAGE ASSET CORP · Filed Oct 31, 2014
Insider Transaction Report
Form 4
Davis Robert Craig
Director
Transactions
- Sale
Series A Cumulative Preferred Stock
2014-10-27$25.20/sh−7,000$176,431→ 0 total(indirect: By Trust)
Holdings
- 10,000(indirect: By Spouse)
Common Stock
- 4,000
Series B Cumulative Convertible Preferred Stock
Exercise: $10.50→ Common Stock (16,608 underlying) - 10,000
Common Stock
- 12,000
Restricted Stock Unit
→ Common Stock (12,000 underlying)
Footnotes (6)
- [F1]Mr. Davis 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]The Series B Cumulative Convertible Preferred Stock is convertible into Anworth Mortgage Asset Corporation common stock initially at a conversion rate of 2.3809, 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 rate reflecting such adjustments is 4.1519.
- [F5]Immediately exercisable.
- [F6]The Series B Cumulative Convertible Preferred Stock has no expiration date.