ANWORTH MORTGAGE ASSET CORP 4

4 · ANWORTH MORTGAGE ASSET CORP · Filed Jul 14, 2014

Form 4

Period: 2014-07-10

Director

Transactions

Award
Restricted Stock Unit
2014-07-10+2,000→ 12,000 total
→ Common Stock (2,000 underlying)

Holdings

Common Stock
10,000
Common Stock
(indirect: By Spouse)
10,000
Series A Cumulative Preferred Stock
(indirect: By Trust)
7,000
Series B Cumulative Convertible Preferred Stock
Exercise: $10.50→ Common Stock (16,368 underlying)
4,000

Footnotes (8)

[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-for-1.
[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 has no expiration date.
[F5]Granted to the reporting person for his continued service on the board of directors.
[F6]The Series B Cumulative Convertible Preferred Stock is convertible into shares of 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 reflection such adjustments is $4.0919 per share.
[F7]Immediately exercisable.
[F8]The Series B Cumulative Convertible Preferred Stock has no expiration date.

Documents

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